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Compliance Consultant 4 - Review Lead

Company: Wells Fargo Bank
Location: Bryn Mawr
Posted on: December 5, 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. 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 successful candidate will serve as a review lead in Reg W and Volcker for the Enterprise -- Functions T&V team focusing on overseeing and managing compliance testing in order to assess adherence to regulatory and internal policy requirements and evaluate the effectiveness of business processes, controls, and risk management activities.Responsibilities for this position include, but are not limited to:

  • Lead day to day activities of compliance testing to ensure completion within scheduled time frames and assist with program development, planning, and scheduling.
  • Interact with regulatory proponents, front line and second line business partners, and line of business T&V testing groups.
  • Exercise effective communications and promote positive client relations with business partners.
  • Collaborate with and communicate emerging risks, review activity findings, and recommendations to senior management and risk partners.
  • Keep abreast of regulatory changes and impacting Reg W and Volcker compliance.
  • Understand and effectively apply T&V COE testing standards.**Please note: -- Other Compliance Hubs within the Wells Fargo footprint may be considered.

    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
    • 3+ years of compliance and controls testing experience
    • 2+ years of management experience

      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
      • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Ability to take initiative and work independently with minimal supervision in a structured environment
      • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management

        Other Desired Qualifications
        • 3+ years of compliance testing, audit or compliance review experience
        • Experience in managing and leading compliance testing or auditing
        • Experience providing credible challenge to business partners when necessary, with the ability to lead through influenceOne or more of the following certifications is desired:
          • Certified Anti-Money Laundering Specialist (CAMS)
          • Certified Financial Crimes Specialist (CFCS)
          • Certified Information Systems Auditor (CISA)
          • Certified Internal Auditor (CIA)
          • Certified Public Accountant (CPA)
          • Certified Regulatory Compliance Manager (CRCM)
          • Certified Risk and Compliance Management Professional (CRCMP)
          • Certified Risk Professional Program (CRP) For Testing and Validation Positions Only

            Job Expectations
            • Ability to travel up to 5% of the time

              Street Address
              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.

Keywords: Wells Fargo Bank, Philadelphia , Compliance Consultant 4 - Review Lead, Other , Bryn Mawr, Pennsylvania

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