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Full-time Compliance Consultant 4

at Wells Fargo in Des Moines, Iowa

Job ID 5330884
Schedule Type Reg-Time
Work Hours 40
Location Des Moines, Iowa, Denver, Colorado, Minneapolis, Minnesota, Boise, Idaho, Winston-Salem, North Carolina, San Antonio, Texas, Charlotte, North Carolina;
Job Description
The position is part of the newly formed Business Banking Compliance, Financial Crimes, and Operational Risk team. In addition, this team has a Business Risk Programs Office, Compliance Process Engineering and accountability for BBG’s response and execution of Consent Order deliverables.

This position will report directly to the Compliance Manager. The team will be accountable for establishing BBG specific Compliance Programs as well as providing compliance risk oversight and coordination and consulting on risk activities for BBG. The Compliance Consultant 4 will manage the day-to-day compliance support and act as a representation on LOB projects and/or regulatory driven projects.

The role will be responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements and will provide oversight to a compliance function. The role works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities. The role evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery. Reports findings and recommendations to senior management. Manages and/or coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Manages and/or coordinates site, agency or other examinations conducted by external parties.

Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

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
Knowledge and understanding of state, federal, and agency legal and regulatory compliance requirements
Experience implementing and monitoring regulatory compliance training
Experience conducting root cause analysis for data-driven process-related improvements
Experience coordinating internal audits or examinations conducted by external parties
Knowledge and understanding of issues or change management processes
Experience with partner/collaboration efforts with a Business Banking Group and/or a Wholesale group (RCBO)
An active Certified Regulatory Compliance Manager (CRCM) designation
6+ years of compliance and regulatory systems experience

Street Address
ID-Boise: 3033 Elder St - Boise, ID
NC-Charlotte: 301 S Tryon St - Charlotte, NC
CO-Denver: 1700 Lincoln St - Denver, CO
IA-Des Moines: 666 Walnut St - Des Moines, IA
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
NC-Winston Salem: 401 N Research Parkway - Winston Salem, NC


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.

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Published at 05-10-2017
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