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Compliance Consultant 4 - Issue Validation

Company: Wells Fargo
Location: Charlotte
Posted on: November 17, 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. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.The Compliance Consultant 4 (CC4) role will conduct Validation-based testing activities across various Lines of Business within Consumer Banking and PVSI, including Wells Fargo Auto (WFA) Cards and Retails Services (CRS), Treasury, Merchant and Payment Solutions (TMPS) and Customer Segments (CS).Specific Job Responsibilities:

  • Design and lead validation activities from end-to-end and with little supervision; includes information gathering and background research, scope development, sampling strategies, testing methodologies, and control design evaluation
  • Interpret regulations and company policies and determine their applicability to business processes
  • Evaluate the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; analyze business or system changes to determine impact; identify and assess operational risk issues where relevant
  • Coordinate with the appropriate partners and subject matter experts in Compliance, the Line of Business, Audit, and Legal when analyzing potential findings identified during testing engagements
  • Act as a subject matter expert regarding testing topics for Line of Business (?LOB?) partners
  • Present test results in an objective and unbiased manner, with clear connections drawn between Issues, Corrective Actions, validation findings, and recommendations
  • Draft validation opinions reflecting relevant facts and that lead to logical and supportable conclusions
  • Develop and maintain strong relationships with business partners, control executive team consultants, key stakeholders, leadership, and other team members. Stay in tune with ongoing business process changes, regulatory expectations, customer feedback, etc.
  • Whenever possible, partner with the Data Analytics team to develop and enhance the use of data analytics and automated testing as an efficient means of measuring adherence to compliance and operational risk requirements
  • Elevate the team?s overall quality of work; review quality assurance feedback and take appropriate actions to address areas requiring attention, as well as perform peer-reviews of testing to identify opportunities for improvement
  • Document workpapers sufficiently and write issues that clearly articulate work performed and results obtained
  • Proactively identify potential risks to Wells Fargo based on research of industry news, consent orders and other regulatory guidanceThis position requires superior communication skills, strong analytical skills, and a high attention to detail. The right candidate will be committed to promoting a collaborative and team oriented environment with a bias to proactively helping manage risks to the bank.

    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

        Other Desired Qualifications
        • 3+ years experience in Audit, Compliance, Risk and Testing
        • Experience leading high-profile testing engagements that undergo a large amount of scrutiny
        • Experience in Validation testing
        • Critical Thinking and Analytical skills
        • Experience cultivating relationships and collaborating with business partners, legal, compliance
        • Ability to multi-task and meet deadlines despite competing priorities
        • Audit or compliance related certification such as the CPA, CIA, CRCM, etc.
        • Knowledge of risk platforms used at Wells Fargo and experience with testing & monitoring activities

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

            Street Address
            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
            IA-West Des Moines: 7001 Westown Pkwy - West 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


            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, High Point , Compliance Consultant 4 - Issue Validation, Professions , Charlotte, North Carolina

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