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Compliance Consultant 4

Company: Wells Fargo
Location: Irving
Posted on: May 19, 2019

Job Description:

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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.WFC Required Standard Verbiage:Wells Fargo Compliance is the company's compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line 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.Brief Group Description (Optional - description of your team's responsibilities)The Wholesale Bank Regulatory Compliance (WBRC) function is a part of the Wholesale Compliance Office and is responsible for providing governance and oversight for the U.S. bank regulatory compliance programs for the Wholesale Banking Group. The WBRC function assesses the comprehensiveness of compliance processes and controls for the Wholesale Banking businesses to adhere to and comply with U.S. banking laws, regulations, and rules and in implementing Wells Fargo compliance policies, standards, and programs. Methods developed to provide for compliance with these U.S. laws, regulations and rules include the establishment and maintenance of applicable policies, standards, programs, and procedures documenting internal controls; implementation of surveillance and monitoring capabilities; provision of training and advisory support, and usage of Key Risk Indicator metrics.Primary Duties and Responsibilities:Compliance leader role within Wholesale Compliance responsible for developing, implementing and monitoring regulatory compliance programs in Wholesale Commercial Real Estate (CRE) corporate risk function. This role will serve as a Compliance Officer and will report to a CRE Compliance Manager. Will support the Compliance Policy and Wholesale Bank Regulatory Compliance Program as applicable to CRE.Key responsibilities include:

  • Administer maintenance and/or creation of requisite CRE regulatory compliance framework inclusive of but not limited to risk assessment, policy, procedure, training and reporting.
  • Provide oversight to CRE risk programs and assist as assigned in closing gaps by either evaluating existing (or creating new) programs, policies, procedures and training.
  • Participating in compliance related project, strategies, methodologies and analyses representing CRE.
  • Evaluate and perform analytics on the adequacy and effectiveness of CRE policies, procedures, processes, systems and internal controls as they relate to regulatory compliance.
  • Consult with CRE to develop corrective action plans and effectively manages change as relates to regulatory compliance matters.
  • Identify training opportunities to include the design/coordination and development of the businesses compliance training materials, assignment audience, and completion monitoring of training.
  • Report findings and develop business cases to influence senior management on the need for controls to mitigate risk.
  • Manage and/or coordinate production of periodic compliance risk performance reports for senior management, including trend analysis and recommended strategies. Participate in Business Risk Management forum.
  • Identify and escalate emerging risks to management and risk partners as appropriate. Collaborate with relevant lines of business, legal and risk partners to document concerns and propose solutions
  • Maintain and foster strong relationships with product teams, Control partners, legal and other line of business to facilitate discussions and resolve issues
  • Support the creation of compliance training, Metrics and presentation material

    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
      • Advanced Microsoft Office (Word, Excel, and Outlook) skills
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to articulate complex concepts in a clear manner

        Other Desired Qualifications
        • Wholesale Banking compliance experience
        • Proven experience in a Compliance oversight and/or governance role
        • Experience with the interpretation of laws, rulings and regulations impacting the CRE business and advise the business as appropriate, including (but not limited to) Reg B, Reg D, Reg Y, Reg GG, ADA, SCRA, , as well as OCC guidance
        • Ability to work effectively and independently in a fast-paced, changing environment
        • Be comfortable in sharing opinions, interpretations and performing credible challenges

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

            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.

Keywords: Wells Fargo, Irving , Compliance Consultant 4, Accounting, Auditing , Irving, Texas

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