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Risk Management Control Assurance Lead / WIM BPRM Control Assurance ORC4

Company: Wells Fargo Bank
Location: Charlotte
Posted on: December 5, 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.Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement.JOB DESCRIPTIONReporting to the WIM Business Process Risk Management (BPRM) Program, this Operational Risk Consultant 4 (ORC4) is an integral member of the high-performing WIM BPRM Program Control Assurance Team. You will play a significant role in analyzing business processes, identifying operational and applicable regulatory risks and mitigating controls and evaluating the design of mitigating controls to ensure adequacy.Key responsibilities include, but are not limited to:

  • Analyzing process activities to identify applicable regulatory requirements
  • Working with other teams, including WIM business teams and IRM Compliance teams, to ensure the appropriate business process risks are identified and the established mitigating controls are adequate
  • Providing consultation and program expertise to dependent programs, including IPRC/RCSA, Enterprise Testing & Validation and WIM Front-Line Self-Assurance teams, assisting with high-profile projects and initiatives and supporting risk assessment activitiesPlease 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

    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
      • Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Audit or internal controls testing experience
      • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function
      • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
      • Ability to develop partnerships and collaborate with other business and functional areas
      • Solid critical thinking skills
      • Experience creating reports in response to management, audit, or regulatory requirements
      • Ability to grasp complex business issues quickly, recommend solutions, and drive for resolutions
      • Experience with Wells Fargo risk systems such as Shared Risk Platform (SHRP), Risk and Control Self-Assessment (RCSA), or Control Risk Analysis System (CRAS+)
      • Extensive knowledge and understanding of research and analysis
      • Strong project management skills including the ability to handle multiple projects concurrently

        Other Desired Qualifications
        • Knowledge and strong understanding of Wealth & Investment Management business processes
        • Experience monitoring and/or evaluating corrective action execution
        • Experience implementing, executing and/or governing a high profile risk and/or regulatory program
        • An active risk management certification, e.g. Certified Regulatory Compliance Manager (CRCM), Certified Anti Money Laundering Specialist (ACAMS/CAMS), Certified Internal Auditor (CIA)

          Job Expectations
          • Ability to travel up to 10% of the time

            Street Address
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
            MN-Minneapolis: 550 South 4th St - Minneapolis, MN
            NC-Charlotte: 401 S Tryon St - Charlotte, NC


            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 Bank, Charlotte , Risk Management Control Assurance Lead / WIM BPRM Control Assurance ORC4, Executive , Charlotte, North Carolina

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