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Compliance Consultant 5

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.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.The Compliance Consultant 5 will be joining the Wells Fargo Compliance Group supporting Private Wealth Management (PWM) and Wealth Client Solutions (WCS). In this role, the successful candidate will support cross-business compliance programs for PWM and WCS, overseeing and promoting compliance with Corporate Policy and applicable regulations. -- This senior consultant will play a key role on a compliance team that conducts Sales Practices monitoring, supports WIM Referral Partnerships, and certain other regulatory program activities. -- Ongoing responsibilities include consulting in the design of oversight activities and facilitating the evolution of the compliance function towards its target operating model. --Primary Duties and Responsibilities:Responsibilities include but are not limited to:

  • Provides compliance risk and regulatory subject matter expertise for a defined set of compliance program elements. Provides compliance direction, monitoring and credible challenge for the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding covered compliance risk matters
  • Build proficiency in all programs covered by the team in order to provide managerial support
  • Participates in coordination and communication with the Legal Department with respect to current and emerging compliance risks; may provide support in interactions with Audit and/or regulators on compliance-related topics**Please note that posting duration may be shortened based on job seeker volume.**

    Required Qualifications
    • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ 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
      • Ability to think creatively to find innovative solutions to complex analytical questions
      • Ability to drive and lead organizational change in a dynamic environment
      • Ability to grasp complex business issues quickly, recommend solutions, and drive for resolutions
      • A BS/BA degree or higher
      • Experience delivering results in a fast-paced, deadline driven environment
      • Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
      • Audit experience
      • An active Certified Regulatory Compliance Manager (CRCM) designation
      • An active Certified Public Accountant (CPA) designation

        Other Desired Qualifications
        • Experience with regulatory framework as it applies to Wealth Management industry; Experience with SHRP and control assessment and development
        • Understanding of regulatory requirements with the ability to communicate effectively to explain the requirements and associated compliance activities
        • Ability to provide credible challenge
        • Ability to support and drive processes/operational enhancements

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

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

            MN-Minneapolis: Min: $110,600 Mid: $158,000
            IA-Des Moines: Min: $110,600 Mid: $158,000
            MO-Saint Louis: Min: $110,600 Mid: $158,000
            NC-Charlotte: Min: $110,600 Mid: $158,000
            OR-Portland: Min: $110,600 Mid: $158,000
            TX-San Antonio: Min: $110,600 Mid: $158,000
            TX-DAL-Downtown Dallas: Min: $110,600 Mid: $158,000

            Street Address
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            IA-Des Moines: 666 Walnut St - Des Moines, IA
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
            NC-Charlotte: 8505 Ibm Drive - Charlotte, NC
            OR-Portland: 1300 Sw 5th Ave - Portland, OR
            TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
            TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX


            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 , Compliance Consultant 5, Other , Saint Louis, Missouri

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