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Operational Risk Consultant 3 - Wealth Management Control Team

Company: Wells Fargo
Location: Charlotte
Posted on: June 15, 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.The Wealth Management and Abbot Downing Control team has a new opportunity for an Operational Risk Consultant (ORC). This Operational Risk Consultant will provide front line support for regulatory activities for the Wealth Management and Abbot Downing business lines. This role will interact and work cross-functionally with team members throughout the Wealth Management and Abbot Downing business lines and also serve as a central point of contact between the business lines and various oversight groups. Specific areas of focus will include, but not be limited to:

  • Fair Lending
  • Regulation O
  • Retail Sales of Non-Deposit Investment Products (RSNIP)
  • Unfair, Deceptive or Abusive Acts or Practices (UDAAP)
  • Volcker RuleA background in risk management, audit and/or compliance as well as an understanding of key risks and regulatory requirements for Wealth Management and Abbot Downing are key to the success of this role. Strong communication skills are imperative.

    Required Qualifications
    • 2+ 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
    • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field

      Desired Qualifications
      • Intermediate 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

        Other Desired Qualifications
        • Advanced Microsoft Office skills.
        • Ability to articulate complex concepts in a clear manner.
        • Experience working in or closely with Wealth Management and Abbot Downing lines of business and the ability to demonstrate working knowledge of related products/services, key processes/systems, and organizational structure.
        • Experience designing, implementing, and executing risk management programs.
        • Advanced PowerPoint skills

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

            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 3 - Wealth Management Control Team, Executive , Charlotte, North Carolina

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