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Operational Risk Consultant 4 / Wholesale Group Regulatory Relations

Company: Wells Fargo
Location: Charlotte
Posted on: May 19, 2019

Job Description:

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.Wholesale Banking provides financial solutions to businesses across the United States and globally. Our four major business lines include Corporate & Investment Banking, Commercial Banking, Commercial Real Estate, and Wells Fargo Commercial Capital. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.The Wholesale Control (WC) organization serves as the front line risk management organization within the Wholesale Banking group of Wells Fargo supporting the Wholesale businesses with risk strategy, implementation, and execution. The Wholesale Control team is accountable to assess and effectively manage risks across all risk types and Wholesale businesses delivering an integrated view of risks, producing a sustainable control environment, and instilling a culture of strong risk management. The team is responsible to identify and assess risks, design and implement controls, and execute and monitor the controls to ensure they are working effectively to manage risk across Wholesale. Wholesale Control interfaces with Independent Risk Management and Audit to drive comprehensive and consistent implementation of regulatory and corporate risk policies and programs across Wholesale.Wholesale Group Regulatory Relations (GRR) is a front-line function within the WC Organization. Wholesale GRR establishes and executes the regulatory engagement strategy for the Wholesale Banking group in partnership with Wells Fargo Regulatory Relations (WFRR) and in compliance with Wells Fargo's Regulatory Relations Policy and procedures. Members of the Wholesale GRR team are expected to promote strong coordination across Wholesale Banking, working closely with WFRR, Independent Risk Management, Legal, Compliance and Audit partners to ensure transparency and consistency of regulatory communications. GRR also focuses on establishing consistent processes in the response and coordination of Regulatory reviews, WF Audit Services reviews, Testing & Validation reviews and Operational Risk Review activities (referred to as Review Activities) in an integrated fashion across Wholesale Banking.These are positions within the Wholesale GRR organization. This is a support role in the Wholesale GRR focused on regulatory engagement and review activities management on behalf of Wholesale Banking, Wholesale LOBs, Wholesale Control and the WCOO.Specific Responsibilities:

  • Provide support to Wholesale GRR in connection with complex regulatory examinations and requests, including coordination of request items with multiple lines of business and functions, and coordination of fieldwork activities and onsite logistics such as scheduling meetings and conference rooms, ensuring onsite access for examiners, following up on meeting deliverables, tracking and maintaining documentation, maintaining SharePoint sites and maintaining FileNet backup documentation
  • Support the Wholesale GRR in the promotion of effective of effective internal audit and review activities relationships
  • Assist with preparation of Group-level regulatory reporting covering the status of regulatory examinations, the remediation of regulatory matters (Matters Requiring Attention (MRAs), securities issues, etc.) and informal regulatory interactions
  • Assist the Wholesale GRR fulfill responsibilities consistent with the Wells Fargo Regulatory Relations Policy, effective December 2018 and consistent with the Wholesale GRR responsibilities as defined by the PolicyLocations: 555 South Tryon, Charlotte, NC; 333 Market St, San Francisco, CA; 150 E 42nd St, New York, NY; 10 S Wacker, Chicago, ILTeam members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

    Required Qualifications
    • 6+ 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 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both

      Desired Qualifications
      • Advanced Microsoft Office skills
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to interact with all levels of an organization
      • A BS/BA degree or higher
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Experience creating reports in response to management, audit, or regulatory requirements
      • Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management
      • Tableau experience
      • Knowledge and understanding of maintaining and updating SharePoint team web content

        Other Desired Qualifications
        • Wholesale Regulatory Relations experience
        • Ability to represent the company/business units to internal and external auditors, OCC, or other regulatory agencies

          Job Expectations
          • Ability to travel up to 25% of the time

            Street Address
            NC-Charlotte: 301 S College St - Charlotte, NC
            CA-SF-Financial District: 333 Market St - San Francisco, CA
            IL-Chicago: 10 S Wacker Drive - Chicago, IL
            NY-New York: 150 E 42nd St - New York, NY


            Disclaimer

            All 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.

Keywords: Wells Fargo, Charlotte , Operational Risk Consultant 4 / Wholesale Group Regulatory Relations, Accounting, Auditing , Charlotte, North Carolina

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