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Compliance Consultant 3

Company: Wells Fargo
Location: Saint Louis
Posted on: June 15, 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.Specifically, this Compliance Consultant will assist in the development, enhancement and maintenance of processes for the identification and assessment of internal and external risk factors that impact the compliance program, including regulations, rules, industry practice, policies, procedures, changes to organizational infrastructure, new business initiatives and Corporate and Wholesale Banking risk initiatives. Additionally, this Compliance Consultant will assist in the development, enhancement, and maintenance of controls and processes for horizontal compliance programs impacting one or more of the applicable lines of business to effectively mitigate regulatory compliance risk. This Compliance Consultant will be responsible for supporting the compliance program of the applicable lines of business for the following:

  • Assist in the design and implementation of strategies and methodologies for emerging risk identification and assessment
  • Actively monitor for emerging risk through various channels
  • Communicate effectively with stakeholders about identified emerging risk, perform initial applicability assessments and facilitate impact assessments by subject matter experts
  • Draft risk assessment memoranda to summarize results of impact assessments across multiple business areas and maintain accurate and complete documentation of completed risk assessments
  • Actively participate in initiatives to develop or enhance subject matter or regulation-specific horizontal compliance programs that will be implemented across multiple product or asset classes
  • Assist in the design and implementation of controls, including policy, procedure, training, and processes designed to mitigate regulatory compliance risk
  • Assist in the creation of functional documentation to document accountabilities, evidence a process, or provide guidance
  • When necessary, assist business units to develop and execute corrective action plans for identified issues

    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

        Other Desired Qualifications
        • Juris Doctor
        • Experience developing and enhancing compliance programs
        • Project management experience, including experience drafting documents such as policies and procedures, training decks and management reports
        • Ability to interview stakeholders and accurately map business processes, risks and controls
        • Ability to ingest large amounts of complex information, synthesize, develop recommendations and present for decision making or actioning
        • Ability to analyze data and identify trends and patterns
        • Knowledge of regulations governing broker dealers or swap dealers



          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.
          Associated topics: attorney corporate, company, compliance, compliance office, counsel, court, courtroom, lawyer, legal, llp

Keywords: Wells Fargo, St. Louis , Compliance Consultant 3, Other , Saint Louis, Missouri

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