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Compliance Consultant 3 - Enterprise Testing

Company: Wells Fargo
Location: Chandler
Posted on: June 15, 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.Enterprise TestingWithin Wells Fargo Compliance, this group provides an independent oversight function within the second line of defense, establishing and maintaining a consolidated Enterprise Testing function at the corporate level. They are responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams throughout corporate risk will be responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.The Consumer Banking (CB) and Payment, Virtual Solutions and Innovation (PVSI) Enterprise Testing team, is seeking a Compliance Consultant 3 to execute the financial crimes testing plan for all of CB and PVSI. This team member will primarily serve in a review lead capacity for the financial crimes (BSA/AML and OFAC) review but may also execute in a tester capacity. They will be responsible for execution of all aspects of the Enterprise Testing methodology including: Plan and Prepare, Execute, Identify Issues and Corrective Actions, and Report and Escalate Results will be expected.Specific Responsibilities include, but are not limited to, the following:

  • Lead all phases of BSA/AML/OFAC regulatory compliance test engagements, including planning, scoping, designing testing strategy and test steps, executing testing, presenting findings to management and writing final reports
  • Execute process walkthroughs, identifying and understanding primary/key controls, evaluating control design and the suite of controls
  • Manage engagements to planned dates, resources, and hours
  • Execute throughout the life cycle of the review activities to ensure the adequacy/accuracy of scope, sampling, testing approach, issues, work papers, quality reviews, etc.
  • Develop subject matter expertise and a thorough understanding of the processes and regulations reviewed
  • Receive quality assurance feedback positively and take appropriate actions to address areas requiring attention
  • Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency
  • Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls
  • Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the boardLocation: Open to all locations in the Wells Fargo footprint.

    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 creating, executing, and documenting compliance testing
      • Financial crimes experience
      • Risk and regulatory compliance experience
      • Ability to interact with all levels of an organization
      • Ability to take initiative and work independently with minimal supervision in a structured environment
      • Knowledge and understanding of financial services industry: compliance, regulatory, or legal operations
      • Leadership experience including; coaching, training, and mentoring
      • A BA/BS degree or higher in business or finance
      • Knowledge and understanding of Financial Crimes Risk Management (FCRM)

        Other Desired Qualifications
        • Prior BSA/AML and/or financial crimes experience
        • Experience reviewing business processes and identifying control gaps
        • Certified Anti-Money Laundering Specialist (CAMS) designation
        • Certified Internal Auditor (CIA) designation
        • Ability to read, analyze and interpret regulations, policies, reports, and business processes
        • Experience developing and enhancing compliance programs
        • Experience working effectively across business units to identify and mitigate risk
        • Demonstrated leadership on high risk projects or initiatives
        • Working knowledge of Bank Secrecy Act and financial services related regulations and expectations
        • Experience using data analytics strategies to analyze populations and assess compliance and/or controls
        • Wells Fargo systems knowledge (Hogan, UW, etc.) or Prior experience using Shared Risk Platform (SHRP)



          Street Address
          SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD
          CO-Denver: 1717 Grant St - Denver, CO
          AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
          AZ-Chandler: 2700 S Price Rd - Chandler, AZ
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          NC-Charlotte: 301 S Tryon St - Charlotte, NC
          IA-Des Moines: 800 Walnut St - Des Moines, IA


          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: attorney, attorney corporate, business, compliance office, corporate, corporate attorney, courtroom, legal, legal affairs, market

Keywords: Wells Fargo, Chandler , Compliance Consultant 3 - Enterprise Testing, Professions , Chandler, Arizona

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