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Operational Risk Consultant 3 - Wealth & Investment Management (WIM)

Company: Wells Fargo Bank
Location: Saint Louis
Posted on: November 21, 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, insurance and both individual and institutional retirement.The Control Executive function is part of the company's first line of defense and is accountable for the governance and oversight of all front line risk activities across all risk types. - It provides appropriate analysis, reporting, and escalation to management, sets standards for the company, and gives advice, guidance, and support for compliance/risk management activities across the enterprise.Within the Control Executive organization for Wealth & Investment Management, The Investment Contact Center (ICC) Control has a new opportunity for an experienced Operational Risk Consultant (ORC). - As part of a team, this ORC3 will be responsible for:

  • Implementing and monitoring risk-based programs to identify, assess and mitigate any operational risk that arises from inadequate or failed internal processes, people, systems or external events
  • Performing risk assessments to identify, assess and mitigate risks across business lines and risk programs across multiple risk categories (i.e. investment, operational, strategic, reputational, compliance risks).
  • Know and relate the Risk Management Framework, Operational Risk Program Policy, and Escalation Management Procedures applicable requirements to the ICC.
  • Provide subject-matter expertise to the business and ensure compliance with governing requirements.
  • Conducting and overseeing issue pre-validation/validation testing. - Provide assurance that the issue has been properly remediated before closure or validated by another testing function.*Open to other locations based on level of experience.

    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
      • Ability to take initiative and work independently with minimal supervision in a structured environment

        Other Desired Qualifications
        • Critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
        • Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
        • Experience developing, implementing, and monitoring a risk-based program to assure compliance with governing requirements or providing oversight to a risk program function
        • Experience working in or closely with Wealth and Investment Management lines of business (or external equivalents) sufficient to demonstrate a working knowledge of their products/services, key processes/systems, and organizational structure
        • Technical knowledge of risk management frameworks and principles, internal control design objectives, audit/testing/quality assurance methodologies
        • Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management
        • Experience evaluating Risk Controls
        • Experience creating work papers to support testing and/or procedures/control testing -

          Job Expectations
          • Ability to travel up to 5% of the time

            Street Address
            NC-Charlotte: 401 S Tryon St - Charlotte, NC
            NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
            UT-Salt Lake City: 5201 Amelia Earhart Dr - Salt Lake City, UT
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN


            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 , Operational Risk Consultant 3 - Wealth & Investment Management (WIM), Executive , Saint Louis, Missouri

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