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Compliance Consultant 3

Company: Wells Fargo
Location: Victoria
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.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.The Wealth and Investment Management (WIM) Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses, including Wells Fargo Advisors, The Private Bank, Abbot Downing, Wells Fargo Institutional Retirement and Trust, and Wells Fargo Asset Management. The WIM Financial Crimes Testing Consultant will support the WIM Financial Crimes Testing Manager in performing risk-based compliance control testing to assure compliance with financial crimes-related regulatory requirements and corporate policies applicable to the Wealth and Investment Management businesses. This includes areas such as Know Your Customer (KYC), suspicious activity reporting (SAR), sanctions and screening, etc. These responsibilities will include independently executing audit-style engagements including thorough planning, the creation and execution of testing plans, the identification and escalation of issues in adherence with the Independent Monitoring, Testing, and Validation Policy, and will include usage of the Wells Fargo Shared Risk Platform (SHRP) system. The Consultant will work with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives to identify, assess, and mitigate regulatory risk in business activities as well as providing recommendations to strengthen the business control environment. The Consultant will report findings and draft recommendations to WIM business and risk management partners.One 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)Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

    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
      • Audit or internal controls testing experience
      • Ability to identify risk exposures and propose solutions
      • Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Ability to turn preliminary or ambiguous information, ideas, or problems into well defined plans, solutions, and test scripts

        Other Desired Qualifications
        • Certified Anti Money Laundering Specialist (CAMS) and/or Certified Financial Crimes Specialist (CFCS)
        • Experience in Compliance, Audit, and/or Risk Management Testing



          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 corporate, compliance department, compliance office, corporate, corporate attorney, courtroom, lawyer, legal department, llp, market

Keywords: Wells Fargo, Victoria , Compliance Consultant 3, Accounting, Auditing , Victoria, Texas

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