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Compliance Consultant 3

Company: Wells Fargo
Location: Sioux Falls
Posted on: November 9, 2019

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.? In order to receive text message invitations, your profile must include a mobile phone number designated as ?Personal Cell? or ?Cellular? in the contact information of your application.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.Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group- specific testing.This Compliance Consultant 3 role is an individual contributor that will be focused initially on the development and execution of internal compliance and control reviews and expanding to encompass self-assurance activity validation across various business processes for Collections for the Credit Card, Retail Services, Educational Financial Services, and Personal Lines and Loans products. This position will conduct testing engagements in accordance with the Enterprise Testing Operating Procedures and other applicable corporate policies or procedures.Specific Job Responsibilities:? Execute moderately complex reviews with limited assistance and guidance of manager. Fully understand the testing process, and make recommendations for improvement.? Ensure issues and recommendations are clearly communicated to business partners, control executive team, compliance, Enterprise Testing leaders and any other applicable stakeholders based on substantive evidence compiled during the testing engagement? Coordinate with Testing Managers and colleagues to ensure consistent application of Testing Program standards? Proactively identify potential risks to Wells Fargo based on risks identified across the industry through consent orders and news publications? Act as subject matter expert regarding testing topics for the line of business and/or a line of business function (collections, servicing, etc.)? Demonstrate ability to identify and utilize multiple resources to conduct research, learn and apply regulations and processes? Complete all reviews and other projects on time, and within acceptable quality standards. Proactively assists others facing resource constraints.? Document work papers sufficiently and write issues that clearly articulate work performed and results obtained? With guidance from more senior team members and leadership, accurately evaluate risks and controls, assist with the development of effective test plans, exhibit appropriate judgment regarding issues, and assist with preparation and communication of findings and compliance activity reports.

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
      • Experience in Audit, Compliance, Risk and Testing
      • Critical Thinking and Analytical skills
      • Ability to multi-task and meet deadlines despite competing priorities
      • High degree of initiative
      • Good attention to details, accuracy, and quality of work
      • A team player with collaborative work styleFor Testing and Validation Positions Only:One or more of the following certifications is desired:?Certified Anti-Money Laundering Specialist (CAMS)?Certified Financial Crimes Specialist (CFCS)?Certified Information Systems Auditor (CISA)?Certified Internal Auditor (CIA)?Certified Public Accountant (CPA)?Certified Regulatory Compliance Manager (CRCM)?Certified Risk and Compliance Management Professional (CRCMP)?Certified Risk Professional Program (CRP) For Testing and Validation Positions Only

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

          Street Address
          IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          IA-Des Moines: 800 Walnut St - Des Moines, IA
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          OR-Portland: 1300 Sw 5th Ave - Portland, OR
          TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
          TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
          SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
          PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
          SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


          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.

          Company Description:

          Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo---s vision is to satisfy our customers--- financial needs and help them succeed financially. With approximately 261,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 29 on Fortune---s 2019 rankings of America---s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.--Wells Fargo has been helping military members and veterans succeed financially for nearly 170 years. Throughout the years, Wells Fargo has supported military members and veterans through initiatives to recruit and retain team members, and through foundation donations, countless volunteer hours, and event sponsorship.

Keywords: Wells Fargo, Sioux Falls , Compliance Consultant 3, Accounting, Auditing , Sioux Falls, South Dakota

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