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Compliance Consultant 3 - WIM Testing and Validation

Company: Wells Fargo
Location: Charlotte
Posted on: October 13, 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.Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.The Wealth and Investment Management Testing & Validation (WIM T&V), under Enterprise Testing, is seeking an experienced compliance or audit professional to join the Team. The Compliance Consultant 3 role will be responsible for control testing to ensure compliance with regulatory requirements and corporate policies, including compliance with the Regulatory Compliance Risk Management Policy and Procedures as well as the Independent Monitoring, Testing and Validation Standards. Experience in testing and/or compliance consulting is needed for this position.This position reports to a WIM T&V Manager.Primary Duties and Responsibilities:Included but not limited to:

  • Execute group-specific control testing in accordance with T&V methodology and standards, including assessments of design and operating effectiveness
  • Participate as a tester or co-lead on reviews of varied complexity and regulatory risk exposure.
  • Evaluate the adequacy and effectiveness of policies, procedures, initiatives, and internal controls
  • Thoroughly document test work and compliance activity reports.\
  • Identify issues and responsibility to communicate/consult with various levels of management to ensure corrective actions address root cause and meet corporate sustainability requirements
  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed.
  • Testing practices will include: regulatory control testing, operational control testing, and corrective action validations

    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
      • A BS/BA degree or higher in accounting, finance, or economics
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
      • Solid critical thinking skills

        Other Desired Qualifications
        • Demonstrated ability to think independently and bring credible challenge to the risk management
        • 2 years of direct/formal experience conducting control testing, or audit functions
        • Broad Testing or Audit experience within a single role, that covers multi processes, or multi-functions

          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 , Compliance Consultant 3 - WIM Testing and Validation, Professions , Charlotte, North Carolina

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