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Compliance Consultant 3: Wealth and Investment Management Testing & Va

Company: Wells Fargo
Location: Saint Louis
Posted on: May 19, 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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take 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.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 applicable to Wells Fargo Asset Management and/or Wells Fargo Investment Institute, 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.Specific duties for this position include, but are 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
  • Participate in other projects/activities to further the compliance testing program.This position reports to a WIM T&V Manager.

    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
      • Solid critical thinking skills
      • Experience testing policy and procedures/control testing
      • A BS/BA degree or higher in business, management, accounting, finance or economics
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • An active Certified Regulatory Compliance Manager (CRCM) designation
      • An active Certified Public Accountant (CPA) designation
      • Certified Information Systems Auditor (CISA)
      • Certified Anti Money Laundering Specialist (CAMS)

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk, and Testing
        • Broad Testing or Audit experience within a single role, that covers multi processes, or multi-function
        • 2 years of direct/formal experience conducting control testing, or audit functions
        • Demonstrated ability to think independently and bring credible challenge to the risk management
        • Certified Financial Crimes Specialist (CFCS)
        • Certified Internal Auditor (CIA)
        • Certified Risk And Compliance Management Professional (CRCMP)
        • Certified Risk Professional Program (CRP)

          Street Address
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN


          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, St. Louis , Compliance Consultant 3: Wealth and Investment Management Testing & Va, Accounting, Auditing , Saint Louis, Missouri

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