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Compliance Consultant 4 (UDAAP Assessment)

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. 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 UDAAP Assessment Compliance Consultant is responsible for performing risk-based, independent, enterprise wide UDAAP risk assessments to ensure compliance with federal and state UDAAP / UDAP standards.This includes:

  • Playing a key role in driving the establishment and maintenance of a comprehensive enterprise UDAAP assessment program, which is a critically important part of the UDAAP compliance program. This requires a thorough examination of products, services and processes across the enterprise, including the largest, most complex and high risk business areas.
  • Conduct a significant number of ongoing, thorough assessments of products, services and processes to assess UDAAP risk and identify specific areas of corrective action.
  • Making key decisions guided by broad enterprise policies and objectives and guidance from compliance leadership, and coordinating activities across multiple businesses and risk areas, involving multiple systems and operating platforms.
  • Responsibility for issue management and follow up, and working with businesses to communicate results and recommendations, as well as monitoring issues in enterprise systems of record (i.e. SHRP, RANBI) and drive to resolution.
  • Working closely with UDAAP Program Subject Matter Experts and compliance partners across the enterprise to address areas of identified risk and drive resolution.
  • Assisting in maintaining relationships to identify and influence areas of focus for UDAAP assessments.
  • Effectively managing change and creating a culture of "compliance awareness" where all team members share in accountability.The UDAAP Assessment Compliance Consultant is responsible for performing risk-based, independent, enterprise wide UDAAP risk assessments to ensure compliance with federal and state UDAAP / UDAP standards.This includes:
    • Playing a key role in driving the establishment and maintenance of a comprehensive enterprise UDAAP assessment program, which is a critically important part of the UDAAP compliance program. This requires a thorough examination of products, services and processes across the enterprise, including the largest, most complex and high risk business areas.
    • Conduct a significant number of ongoing, thorough assessments of products, services and processes to assess UDAAP risk and identify specific areas of corrective action.
    • Making key decisions guided by broad enterprise policies and objectives and guidance from compliance leadership, and coordinating activities across multiple businesses and risk areas, involving multiple systems and operating platforms.
    • Responsibility for issue management and follow up, and working with businesses to communicate results and recommendations, as well as monitoring issues in enterprise systems of record (i.e. SHRP, RANBI) and drive to resolution.
    • Working closely with UDAAP Program Subject Matter Experts and compliance partners across the enterprise to address areas of identified risk and drive resolution.
    • Assisting in maintaining relationships to identify and influence areas of focus for UDAAP assessments.
    • Effectively managing change and creating a culture of "compliance awareness" where all team members share in accountability.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
        • A BS/BA degree or higher
        • Ability to work with limited supervision
        • Strong collaboration and partnering skills
        • Experience successfully escalating complex issues and tracking follow-through to completion
        • Experience communicating in both written and verbal formats with senior executive-level leaders
        • Experience developing improvement processes and implementation strategies
        • Exposure to Wells Fargo s Shared Risk Platform (SHRP)
        • Leadership skills including the ability to influence effectively in a matrix environment
        • Experience with governance and oversight requirements for regulatory and risk reporting

          Other Desired Qualifications
          • Extensive knowledge of risk-based regulatory compliance including the industry and laws and regulations that apply to areas of responsibility.
          • Strong operational skills and experience executing on implementation of complex initiatives
          • Strong skills in coordinating across many business lines and working in an environment with multiple systems and processes
          • Certifications or additional training applicable to areas of responsibility such as CRCM, CAMS, CIA, etc.
          • UDAAP experience/expertise

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

              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, St. Louis , Compliance Consultant 4 (UDAAP Assessment), Professions , Saint Louis, Missouri

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