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Compliance Manager 3 - Testing Leader - Regional Bank

Company: Wells Fargo
Location: Charlotte
Posted on: December 9, 2018

Job Description:

Compliance Manager 3 - Testing Leader - Regional Bank Job Description At Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. We re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you ll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company. Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing and Validation for Consumer Channels is responsible for testing and validation activities in the Consumer Bank and PVSI for the Deposit Product Groups, Operations, Call Centers, Digital & Innovation and Regional Bank This leader will be accountable for developing and executing all aspects of independent operational and compliance risk control testing for the Regional Bank (RB) line of business. Specific Job Responsibilities: Lead a team that plans and executes compliance and operational risk control testing. Accountable for conducting end-to-end business process walkthroughs, identifying risks and primary and compensating operational and compliance controls, evaluating control design, and testing the effectiveness of manual and automated controls. Accountable for assessing the universe of Risk Assessable Units (RAUs) in the business and providing effective challenge to business and risk and compliance partners when risks, Major Requirements (MRs), and operational controls are missing, inadequate, or ineffective. Develop the team s review and validation schedule and manage engagements to planned dates, resources, and hours. Anticipate changes in the internal and external environment and adapt the testing program of the team accordingly. Management responsibilities include sourcing and hiring talented team members, providing ongoing performance feedback and coaching, recognizing and developing team members with stretch assignments, and completing daily management tasks. Supervise the testing teams throughout the life cycle of the review activities to provide ongoing guidance on scope, sampling, testing approach, issues, work papers, quality reviews, etc. Develop relationships with the business and implement an effective engagement model for the team and business. Partner with legal, compliance, and business partners to stay tuned with ongoing business process changes, regulatory expectations, customer feedback, etc. Improve bench strength of the team. Develop subject matter expertise within the team of all the major products, services, and processes in the line of business and develop a thorough understanding of the laws and regulations, regulatory guidance, and policies and procedures of the functions reviewed. Elevate the team s quality of work performed. Review quality assurance feedback and take appropriate actions to address areas requiring attention. Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency. Partner with other Channels teams to drive synergies across the broader team. Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls. Stay abreast of management s plans to address corrective actions and work with the validation team to understand and assess residual risks. Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the board. As needed, present work performed to audit, regulators, and other business partners. Please Note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo. This position is open to any location within the Corporate Risk Footprint As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will: Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them. Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.Required Qualifications8+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both3+ years of management experience Desired QualificationsAdvanced Microsoft Office skillsExcellent verbal, written, and interpersonal communication skillsStrong analytical skills with high attention to detail and accuracyAbility to articulate complex concepts in a clear manner Other Desired Qualifications 6+ years in Audit, Risk, Accounting and/or Compliance testing operational and compliance controls CIA, CRCM, or CPA Advanced Word, Excel, Outlook, PowerPoint, Access, and Visio skills Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment Experience driving and leading organizational change in a dynamic environment Working knowledge within Regional banking Leadership experience with ability to effectively manage and engage teams through coaching and employee development Ability to influence, partner, and negotiate with senior business leaders to gain commitment to accomplish business goals Leadership skills including the ability to influence effectively in a matrix environment Ability to collaborate to build successful relationships with multiple levels of the organization Proven ability to exercise independent and sound judgment that balances business efficiency and effectiveness with prudent risk mitigation principles. Adaptable to a dynamic work environment with multiple priorities and strict timelines and able to organize for responsiveness and efficiency. Experience building and successfully establishing new teams Strong and robust experience with end to end Regulation Control testingJob ExpectationsAbility to travel up to 15% of the time DisclaimerAll offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.Associated topics: chief investment officer, director finance, general manager, general operational manager, president, president finance, recruit, staff, supervise, vice president

Keywords: Wells Fargo, Charlotte , Compliance Manager 3 - Testing Leader - Regional Bank, Accounting, Auditing , Charlotte, North Carolina

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