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Regulatory Reporting and Oversight - Operational Risk Consultant 4

Company: Wells Fargo Bank
Location: Saint Louis
Posted on: December 5, 2019

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. -- In order to receive text message invitations, your profile must include a mobile phone number designated as ------Personal Cell------ or ------Cellular------ in the contact information of your application.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.Wells Fargo Advisors (WFA): -- Wells Fargo Advisors operates the nation------s third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. Wells Fargo Advisors administer $1.4 trillion in client assets. -- Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology. --The primary responsibilities of the Regulatory Reporting and Oversight Operational Risk Consultant include partnering and acting as a liaison between WIM Brokerage Operations teams, external auditors, regulators, and internal COSO exam teams by providing audit/exam support and credibly challenging documentation and responses prior to submission to auditors and/or examiners; developing and maintaining playbooks and control matrices, tracking and monitoring audit requests to ensure requests and responses are completed timely; assisting with control walk-through and control narrative reviews; identifying issues and escalating to management where necessary; and providing management reporting for audit issues identified. -- -- In addition to audit/exam responsibilities, this position is responsible for reviewing application testing performed by Operational Control teams as part of change management oversight processes.

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
    • Strong time management skills and ability to meet deadlines
    • Ability to quickly establish credibility to build and maintain effective working relationships
    • Ability to take initiative and work independently with minimal supervision in a structured environment
    • 2+ years of brokerage operations control or risk experience
    • Audit, audit process, and audit plan management experience
    • Project management experience
    • Public accounting experience
    • Experience communicating and presenting complex information to multiple levels of the organization



      Salary Information
      The salary range displayed below is based on a Full-time 40 hour a week schedule.

      MO-Saint Louis: Min: $80,500 Mid: $115,000


      Street Address
      MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


      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 Bank, St. Louis , Regulatory Reporting and Oversight - Operational Risk Consultant 4, Advertising , Saint Louis, Missouri

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