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Compliance Consultant 5 - Audit & Exam Coordinator

Company: Wells Fargo
Location: Irving
Posted on: December 4, 2019

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. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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 bothDesired 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)How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psc/PSEA/APPLICANTNW/HRMS/c/HRSHRAMFL.HRSCGSEARCHFL.GBL?Page=HRSAPPJBPST_FL&FOCUS=Applicant&SiteId=1&JobOpeningId=5523700&PostingSeq=1.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.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, Irving , Compliance Consultant 5 - Audit & Exam Coordinator, Accounting, Auditing , Irving, Texas

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