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Compliance Consultant 4 - WIM Compliance

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 independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line 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.This is an exciting opportunity to join the Wealth and Investment Management (WIM) Cross Line of Business Compliance team with in WIM Shared Services Compliance. The WIM Shared Services team is generally responsible for successfully designing, managing, and overseeing the implementation and ongoing execution of Corporate Compliance policies, procedures, and program requirements across WIM Compliance. This job opportunity is on the Shared Services Program Execution team responsible for driving WIM Compliance group-level policy implementation, execution, reporting and analysis, oversight, and/or program management responsibilities associated with targeted Wells Fargo Corporate Policies, including Issue Management, Issue Escalation, Commitment to Customer (Customer Remediation), and other selected policies.The successful candidate will work horizontally with representatives from Wells Fargo Compliance, WIM line of business Compliance, and WIM Group Control Executive functions in the fulfillment of ongoing responsibilities.Responsibilities include but are not limited to:

  • Policy review and comment-period process, implementation of new or revised policies, develop and maintain policy program documents where required, perform ongoing policy program activities, and perform policy consulting as requested.
  • Develop and produce required issue management and remediation reporting.
  • Review new Wells Fargo Corporate Policies applicable to the team, including coordination of WIM responses to influence final policy outcomes.
  • Assist with development and execution of a program to analyze, report, and escalate global WIM Issue Management and Customer Remediation demonstrating material compliance risk.
  • Support the WIM Shared Services team through the development and maintenance of departmental desktop procedures and program documents, as well as other key activities as assigned.
  • Engage with the WIM Control Executive Issue Management Center of Excellence, the Wells Fargo Compliance Issue Management Center of Excellence, Compliance Issue Coordinators, the WIM Testing and Validation function, and various Enterprise Community of Practice forums as part of ongoing Program Execution activities.
  • Foster a culture of positive collaboration, partnerships, and support with key stakeholders, and work with WIM-wide project teams as necessary to meet stated objectives and deliverables.
  • Take on additional responsibilities as assigned.Preferred Locations: Charlotte, NC; Des Moines, IA; Minneapolis, MN; St. Louis, MO (Candidates in other locations will be considered.)***Please Note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

    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
      • Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
      • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
      • Ability to be flexible and adjust plans quickly to meet changing business needs
      • Risk management and mitigation experience
      • Wealth or investment management experience
      • Experience resolving and working through escalated and complex issues
      • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function
      • Ability to foster effective partnerships
      • Ability to take initiative and work independently with minimal supervision in a structured environment

        Other Desired Qualifications
        • Strong understanding and familiarity with applicable Wells Fargo Corporate Policies associated with the position, such as Issue Management, Issue Escalation, Commitment to Customer (Customer Remediation), and other selected policies and/or experience in managing compliance programs related to these policies
        • Foundational knowledge of the Wealth and Investment Management business
        • Highly effective at influencing, critical-thinking, and problem solving, is able to build, engage, and maintain positive working relationships across WIM Compliance, the WIM Control Executive function, and Wells Fargo Compliance.
        • Experience in project management, including the development of overall project objectives, deliverables, and strategies; identification of dependencies; and maintenance of ongoing documentation supporting project status, including core risks and obstacles.
        • Successful at developing reports, conducting data analysis, and PowerPoint presentations, as well as presenting to senior leadership.
        • Familiarity with the SHRP platform system or Issue Management experience (managing and tracking issues, developing corrective action, and reporting on the issues)

          Job Expectations
          • Ability to travel up to 10% of the time

            Street Address
            IA-Des Moines: 666 Walnut St - Des Moines, IA
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            NC-Charlotte: 401 S Tryon St - Charlotte, NC
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


            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 4 - WIM Compliance, Professions , Saint Louis, Missouri

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