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Compliance Consultant 4 - Compliance Quality Assurance

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.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 independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line 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.The Compliance Consultant will be expected to execute Quality Assurance and/or Monitoring activities across the Compliance Organization. Quality Assurance Activities will be both formal/scheduled reviews, as well as ad-hoc reviews (i.e. validate remediation of issues prior to declaring completion). Quality Assurance activities will include planning, process review, test script development, assessment/validation activities, documentation, and preparing and communicating the final results. Monitoring activities may include reviewing documentation of ongoing monitoring activities, and recommending additional actions such as additional monitoring, remediation, or enhancements to how the results are communicated/reported.This role requires the ability to quickly understand a concept or process and the expected standards by which it should be evaluated. The Compliance Consultant should be able to develop assessment/testing scripts and work papers, and thoroughly document their work, including their thought process for evaluating and determining pass/fail/needs improvement ratings. The Compliance Consultant should be well-versed in process and control frameworks, as well as monitoring and reporting methodologies. Flexibility will be key, as the landscape and priorities can change quickly in the current environment.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 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
      • Experience testing policy and procedures/control testing
      • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Ability to take initiative and work independently with minimal supervision in a structured environment
      • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk, and/or Testing
        • Prior experience building a test script or audit plan from scratch
        • Experience providing credible challenge to business partners when necessary, with the ability to lead through influence
        • Experience leading regulatory compliance reviews

          Job Expectations
          • Ability to travel up to 15% 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.
            Associated topics: business analysis, business analyst, business intelligence, business systems, information technology consultant, marketing, sales, sap, senior consultant, support analyst

Keywords: Wells Fargo, Charlotte , Compliance Consultant 4 - Compliance Quality Assurance, Professions , Charlotte, North Carolina

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