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Compliance Consultant 4

Company: Wells Fargo
Location: Charlotte
Posted on: June 15, 2019

Job Description:

Job DescriptionAt 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. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.Wells Fargo Compliance is the company's compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.Brief Group Description (optional - description of your team's responsibilities):The Product Development/Marketing Consultant is responsible for establishing and assuring execution of compliance programs for Wells Fargo SBL Product Development/Marketing functions, including multiple regulatory environments (e.g. OCC, Fed, CFPB, state laws) and has responsibility for:-- Compliance Advisory support Compliance Annual Plan development and execution Compliance Risk Assessment activities and reporting Compliance Monitoring/Oversight, and support for Independent Testing Compliance Policy/Procedure implementation and execution Compliance Training delivery and reporting Compliance Change Management activities Compliance Exam Management supportThe Product Development/Marketing Compliance Consultant 4 (CC4) Primary Duties and Responsibilities: As an individual contributor, the CC4 is recognized as a subject matter expert in Wells Fargo compliance risk Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements, and providing compliance oversight of Product Development/Marketing Works with Product Development/Marketing functions to provide compliance risk expertise and consulting for projects and initiatives, sometimes spanning multiple business units, to identify, assess and mitigate regulatory risk Works with Independent Compliance Testing to design and develop the most thorough and comprehensive monitoring and testing strategies, methodologies and analyses.-- Evaluates the adequacy and effectiveness of Product Development/Marketing policies, procedures, processes, initiatives, products and internal controls Consults with Product Development/Marketing functions to develop corrective action plans, and effectively manages change to ensure regulatory compliance Identifies training opportunities, then designs/coordinates the development of training materials and coordinates or delivers training Periodically and regularly reports findings and recommendations to Wells Fargo executive management and Wells Fargo Compliance Works with the Compliance Exam Management Team to coordinate examinations of Wells Fargo Maintains an awareness of the state of compliance across Wells Fargo Provides subject matter expertise on appropriate and adequate controls Ensures that all compliance-impacted business issues are proactively identified and addressed appropriately, escalating where necessaryPrimary Duties and Responsibilities: Advise the businesses on compliance with regulatory requirements and business activities that generate compliance risk.-- Provide credible challenge to affected businesses in their assessment and management of compliance risk.-- Partner with businesses to develop alternative processes and controls that mitigate compliance risk but also achieve business objectives.-- Maintain subject matter expertise and knowledge of the designated businesses, regulatory requirements, and elements of the Compliance Program Independently identify and assess compliance risks.-- Execute the Compliance Program and understand corporate policies and procedures related to the compliance with the regulatory requirements for the business they support.-- Monitor the activities identified in the Compliance Annual Plan identifying and reporting issues identified and support the independent testing activities for their designated business areas.-- Understand themes, volumes, trends etc. by reviewing complaints and escalate issues to appropriate senior leaders.-- Conduct appropriate risk-based impact analysis for applicability of regulatory changes to business activities, processes, systems, etc. Ensure action plans are completed to develop or enhance controls as needed with appropriate timelines and mitigate regulatory compliance riskRequired Qualifications6+ 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 bothDesired QualificationsAdvanced Microsoft Office skillsExcellent verbal, written, and interpersonal communication skillsStrong analytical skills with high attention to detail and accuracyAbility to interact with all levels of an organizationOther Desired Qualifications Strong organizational skills and ability to adhere to strict deadlines in a fast paced environment Ability to identify issues and ask challenging questions; to credibly challenge existing practices or protocols Ability to develop and maintain effective relationships and collaborate within and across business lines at all levels of the organization Knowledge of compliance risk, business operations, and processes and systems controls across a variety of complex financial services related businesses Proven ability to work as a member of a team Knowledge and familiarity with financial laws, regulations, rules or other regulatory requirements BS/BA degree or higher from an accredited 4-year institution Excellent interpersonal and communication skills and experience in communicating with various levels of staff and managementJob ExpectationsAbility to travel up to 10% of the timeStreet AddressMN-Minneapolis: 600 S 4th St - Minneapolis, MNNC-Charlotte: 401 S Tryon St - Charlotte, NCIA-Des Moines: 800 Walnut St - Des Moines, IAMO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MOAZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZUT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UTOR-Portland: 1300 Sw 5th Ave - Portland, ORDisclaimerAll 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.PandoLogic. Keywords: Product Development Consultant, Location: Charlotte, NC - 28254

Keywords: Wells Fargo, Charlotte , Compliance Consultant 4 , Education / Teaching , Charlotte, North Carolina

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