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Compliance Consultant 5 - Audit & Exam Coordinator

Company: Wells Fargo
Location: Sioux Falls
Posted on: December 5, 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 companyWithin 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.The RoleThis position will support the WIM T&V team in control testing, validation reviews, and special projects. The position will play an integral role in ensuring the successful coordination of regulatory activities across Wealth Investment Management Testing & Validation.. He or she will work closely with the Testing Teams and other risk and compliance stakeholders to ensure timely and accurate response to audits and exams.He or she will:

  • Coordinate regulatory inquiries, examinations and communications for Group-level supervisory activities, including regular communication with our federal regulators, particularly the Office of the Comptroller of the Currency (OCC) and the Federal Reserve Board (FRB), to ensure regulatory expectations are being met and consistency across the Group;
  • Manage complex regulatory examination requests, including coordination of request items with multiple lines of business and functions, credible challenge to responding parties, coordination of all fieldwork activities such as meeting content, materials and examiner onsite logistics,
  • Manage the regulatory interaction calendar for Wealth Investment Management Testing & Validation,
  • Prepare Group-level reporting to oversee the status of regulatory examinations, the remediation of regulatory matters (Matters Requiring Attention (MRAs), securities issues, etc?) and informal regulatory interactions;
  • Fulfill responsibilities consistent with the Wells Fargo Regulatory Relations Policy and other applicable Compliance policies.
  • Coordinate with the Enterprise Testing Regulatory and Exam coordinators on regulatory requests managed by Wells Fargo Regulatory Relations or other Corporate Functions;
  • Develop and maintain processes to ensure effective internal audit coordination, communication, issue remediation and scheduling for cross-function Wealth and Investment Management audit activities.

    Required Qualifications
    • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ 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
      • Leadership skills including the ability to influence effectively in a matrix environment
      • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
      • A Masters of Business Administration (MBA) or Juris Doctor (JD)

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk and Testing
        • Critical Thinking and Analytical skills
        • Strong analytical and reporting skills, with the ability to manage multiple responsibilities and tasks simultaneously
        • Experience analyzing and interpreting complex data and information and translating it into clear digestible information per the audience
        • Strong leadership, relationship building, and collaboration skills, including working across various lines of business or with multiple stakeholders (matrixed- Project management type leadership) with tight deadlines
        • Regulatory experience that could include, directly working within a regulatory agency or experience managing regulatory agency activities within a financial services firm, or experience managing external auditing activities within a financial service firm or litigation experience
        • Experience managing regulatory agency examinations
        • Experience leading enterprise-wide initiatives with the Ability to influence, partner, and negotiate with senior business leaders to gain commitment to accomplish regulatory goals
        • Highly motivated and ability to work in a fast-paced and dynamic environment
        • Ability to collaborate to build successful relationships with multiple levels of the organization
        • Experience providing ?credible challenge? to business partners when necessary, with the ability to lead through influence



          Street Address
          NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
          GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
          GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA
          NC-Charlotte: 301 S College St - Charlotte, NC
          NC-Charlotte: 301 S Tryon St - Charlotte, NC
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          NC-Charlotte: 550 S Tryon St - Charlotte, NC
          SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
          TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
          TX-Irving: 250 E John Carpenter Freeway - Irving, TX
          CO-Denver: 1700 Lincoln St - Denver, CO
          IA-Des Moines: 800 Walnut St - Des Moines, IA
          IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
          OR-Portland: 1300 Sw 5th Ave - Portland, OR
          NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC
          UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT
          TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
          SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


          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.


          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 5 - Audit & Exam Coordinator, Professions , Sioux Falls, South Dakota

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