Compliance Consultant 4
Company Name:
Wells Fargo
Position Type:
Full-time
This position reports to the Corporate Financial Crimes Risk Management Governance Office Policy and Program Manager and focuses heavily on consulting, research and writing. Key responsibilities include consulting and working with lines of business, our partners across FCRM, Audit, other Compliance and Operational Risk disciplines, and the Law Department. Assists with drafting and implementing corporate-level policies and Wells Fargo s annual Global FCRM Program, and consulting related to other types of documentation including service level agreements, roles and responsibilities documents, and various types of programs. Works on cross-enterprise and international projects that impact Governance. Stays abreast of emerging issues in the financial crimes industry and community and analyzes issues from a governance perspective, as appropriate.
Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function. Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities. Designs and develops compliance testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery. Reports findings and recommendations to senior management. Manages and/or coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Manages and/or coordinates site, agency or other examinations conducted by external parties. Manages project teams and may provide guidance to less experienced consultants. May directly manage 1-2 specialists/consultants.
Basic Qualifications
6
years in compliance, operational risk, IT systems security, business process mgmt, or financial services, of which at least 3 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the mgmt. of a process or business with accountability for compliance or operational risk).
Minimum Qualifications
- Very strong writing skills
- Strong analytical and verbal communication skills
- Experience in any of the following areas: financial crimes, legal, risk management or compliance
- Experience in any of the areas: consulting, auditing, advising or examining at a financial institution or regulatory agency
- Thorough knowledge of United States BSA, AML, Sanctions or Anti-corruption-related regulations and expectations
- Ability to prioritize and escalate issues
- Ability to work well in a team environment and independently
- Proficient with the Microsoft Office suite of products (Word, Excel, PowerPoint, and or SharePoint, etc.)
Preferred Skills
- Bachelor s and or Graduate degree
- Professional certification (e.g., CAMS certification)
- Strong research skills
- Experience with drafting or implementing programs, policies and procedures
- Experience with drafting agreements, contracts or other types of documents
- Able to work a flexible schedule to meet the needs of a global business
Other Wells Fargo footprint locations will be considered.Estimated Salary: $20 to $28 per hour based on qualifications.
Wells Fargo
Position Type:
Full-time
This position reports to the Corporate Financial Crimes Risk Management Governance Office Policy and Program Manager and focuses heavily on consulting, research and writing. Key responsibilities include consulting and working with lines of business, our partners across FCRM, Audit, other Compliance and Operational Risk disciplines, and the Law Department. Assists with drafting and implementing corporate-level policies and Wells Fargo s annual Global FCRM Program, and consulting related to other types of documentation including service level agreements, roles and responsibilities documents, and various types of programs. Works on cross-enterprise and international projects that impact Governance. Stays abreast of emerging issues in the financial crimes industry and community and analyzes issues from a governance perspective, as appropriate.
Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function. Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities. Designs and develops compliance testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery. Reports findings and recommendations to senior management. Manages and/or coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Manages and/or coordinates site, agency or other examinations conducted by external parties. Manages project teams and may provide guidance to less experienced consultants. May directly manage 1-2 specialists/consultants.
Basic Qualifications
6
years in compliance, operational risk, IT systems security, business process mgmt, or financial services, of which at least 3 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the mgmt. of a process or business with accountability for compliance or operational risk).
Minimum Qualifications
- Very strong writing skills
- Strong analytical and verbal communication skills
- Experience in any of the following areas: financial crimes, legal, risk management or compliance
- Experience in any of the areas: consulting, auditing, advising or examining at a financial institution or regulatory agency
- Thorough knowledge of United States BSA, AML, Sanctions or Anti-corruption-related regulations and expectations
- Ability to prioritize and escalate issues
- Ability to work well in a team environment and independently
- Proficient with the Microsoft Office suite of products (Word, Excel, PowerPoint, and or SharePoint, etc.)
Preferred Skills
- Bachelor s and or Graduate degree
- Professional certification (e.g., CAMS certification)
- Strong research skills
- Experience with drafting or implementing programs, policies and procedures
- Experience with drafting agreements, contracts or other types of documents
- Able to work a flexible schedule to meet the needs of a global business
Other Wells Fargo footprint locations will be considered.Estimated Salary: $20 to $28 per hour based on qualifications.
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