Company Name:

Wells Fargo

Location:

Saint Louis, MO

Approximate Salary:

Not Specified

Posted

October 16, 2018

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Compliance Consultant 3 WIM Testing and Validation (WFA and WIM Financial Crimes Program Management)

Job Description

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $2.0 trillion in assets. Wells Fargo s vision is to satisfy our customers financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investments, mortgage, and consumer and commercial finance through more than 8,300 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 263,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune s 2017 rankings of America s largest corporations. News, insights and perspective from Wells Fargo are also available at Wells Fargo Stories.

Corporate Risk

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk areas, including credit risk, operational risk, market risk, strategic risk, and compliance risk.

Corporate Risk strives to ensure that all Wells Fargo enterprise functions and lines of business (LOBs) soundly manage risk, comply with applicable laws and regulations, and offer products and services that meet the needs of our customers. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, Corporate Risk 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.

Wealth and Investment Management Testing and Validation

Wealth and Investment Management (WIM) provides a full range of personalized wealth management, investment and retirement products and services to clients across U.S.-based businesses including Wells Fargo Advisors, The Private Bank, Abbot Downing, Wells Fargo Institutional Retirement and Trust, and Wells Fargo Asset Management. We deliver financial planning, private banking, credit, investment management, and fiduciary services to high-net-worth and ultra-high-net-worth individuals and families. We also serve customers' brokerage needs, supply retirement and trust services to institutional clients, and provide investment management capabilities delivered to global institutional clients through separate accounts and the Wells Fargo Advantage Funds. The WIM Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses.

This position will provide program management support for WFA and WIM Financial Crimes within the WIM Enterprise Testing and Validation group.

Responsibilities:

Specific duties for this position include, but are not limited to:

  • Performs QA review over WFA and Financial Crimes testing team in progress reviews in line with Enterprise Testing Standards and Procedures
  • Manages ongoing reporting processes including addressing key reporting and metrics for senior leader awareness in line with timeliness requirements established
  • Maintains inventory of and performs enhanced management and reporting on the WFA and Financial Crimes testing schedules including oversight of the consolidated schedule and any impacts or changes to that schedule.
  • Will assist in leading WFA and Financial Crimes T&V teams through a variety of firm, Compliance and/or Enterprise Testing initiatives, such as SHRP Data Quality, Dependent Controls, Third Party testing approach, etc.
  • Subject matter expert on the Issue Management Policy, Operational Risk and Compliance Escalation Standards, Enterprise Testing Standards and Procedures.
  • Develops training and processes to ensure supported teams are compliant with all applicable requirements.
  • May assist in facilitating independent reviews of the WFA and Financial Crimes testing teams such as internal audits or regulatory inquiries or examinations.

**The only location for this role is St. Louis, MO**



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
  • Experience building partnerships and consulting effectively with leadership
  • Ability to interact with all levels of an organization
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Excellent verbal, written, and interpersonal communication skills
  • Intermediate Microsoft Office skills
  • Knowledge and understanding of project management and implementation in a QA testing environment
  • Strong analytical skills with high attention to detail and accuracy
  • Strong organizational, multi-tasking, and prioritizing skills
  • Leadership experience


Other Desired Qualifications
  • Experience creating, executing, and documenting compliance testing
  • BS/BA degree or higher in accounting or finance, or certification (CPA, CFP, CFA, CIA)
  • Prefer prior exposure to compliance and regulatory controls in a financial services environment.
  • Knowledge of Wells Fargo Corporate Policies, Procedures and Standards




Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO



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.


Associated topics: broker, customer, client, health, healthcare, insurance sales, insurance sales agent, lead sales agent, phone, sales associate

Company Name:

Wells Fargo

Location:

Saint Louis, MO

Approximate Salary:

Not Specified

Posted

October 16, 2018

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