Compliance Consultant 4 - Wealth Management Abbot Downing Compliance


Wells Fargo


Posted Under: Charlotte, North Carolina jobs in Executive; Executive jobs in zipcode 28201
Posted On: 2019-05-17 00:00:00

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. Wells Fargo Compliance is the company's compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all 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. The position will serve as a key stakeholder in technology enablement initiatives that are related to regulatory requirements. Responsible for providing business requirements as needed and reviewing and approving business requirements as appropriate. Advises on the development of appropriate compliance tools and technology solutions for identified compliance risks, including the automation of manual compliance controls applicable to those processes. Partners closely with Technology Risk Management Oversight. Primary Duties and Responsibilities include but are not limited to: - Provide governance and manage to policy and standards required and assisting in the development of a strategic approach for the business compliance program - Provide subject matter expertise in the development of management reporting for insight into key risk indicators, including trend analysis and recommendations - Manage documentation for program including process documentation, procedures, templates and executive summaries - Lead and participate in meetings - Participate in the development and enhancement of enterprise reporting producing a comprehensive view and ensuring timely transparency to key risks and issues - Participate in the design of high-quality, strategic reports and risk analysis on a regular and/or ad hoc basis that can support decision making and communicate a holistic compliance and operational risk profile - Provide compliance review, credible challenge, and approval of IT initiatives - Review proposals and attach any regulatory elements to see if they contain initiatives that should be supported by compliance - Provide compliance review, credible challenge, and approval of technology test scripts and test results ***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 prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment - A BS/BA degree or higher - Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members - Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important - Strong organizational, multi-tasking, and prioritizing skills - Ability to negotiate, influence, and collaborate to build successful relationships - An active Certified Regulatory Compliance Manager (CRCM) designation - Ability to take initiative and work independently with minimal supervision in a structured environment - Ability to foster effective partnerships - Ability to identify and evaluate trends, isolate root cause, and provide swift/thorough resolution - Certified Internal Auditor (CIA) - Certified Information Systems Auditor (CISA) - Certified in Risk and Information Systems Control (CRISC) - Knowledge and understanding of technology testing: creation of test plans, test scripts, and managing UAT events Other Desired Qualifications - Experience identifying and assessing regulatory compliance risk for large complex financial institutions - Demonstrated experience implementing compliance programs that support adherence to financial services regulations and/or prudential regulatory guidance - Familiarity with high net worth/ultra high net worth business lines - Experience providing credible challenge Salary Information The salary range displayed below is based on a Full-time 40 hour a week schedule. MN-Minneapolis: Min: $80,500 Mid: $115,000 IA-Des Moines: Min: $80,500 Mid: $115,000 MO-Saint Louis: Min: $80,500 Mid: $115,000 AZ-PHX-Central Phoenix: Min: $80,500 Mid: $115,000 NC-Charlotte: Min: $80,500 Mid: $115,000 TX-Austin: Min: $80,500 Mid: $115,000 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 AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ NC-Charlotte: 8505 Ibm Drive - Charlotte, NC TX-Austin: 4801 Southwest Parkway - Austin, TX 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.