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Compliance Consultant 4 - Regulatory Source Owner / Designee

Company: Wells Fargo
Location: Portland
Posted on: November 11, 2019

Job Description:

Job DescriptionImportant 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. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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.

Financial Crimes Risk Management (FCRM) provides enterprise oversight, expertise, and guidance to ensure that Wells Fargo meets or exceeds all regulatory requirements and expectations for risk disciplines within financial crimes. FCRM currently has an opportunity within its team assisting in the management of the Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), and Anti-Bribery and Corruption (ABC) major compliance requirements (MCRs), risks and controls.

The responsibilities will include but wont necessarily be limited to:

--- Providing compliance risk expertise and consulting with high risk Wells Fargo businesses, generally spanning multiple business lines, to identify, assess and mitigate financial crimes risk

--- Coordinating periodic compliance performance reports for senior management, including trend analysis

--- Acting as regulatory source owner for the Foreign Corrupt Practices Act (FCPA) and managing the related major requirements

--- Working with testing and validation teams by reviewing test scripts and participating in pre-planning and scoping activities

--- Conducting UAT on hierarchy changes, SHRP reporting and SHRP release packages

--- Assisting with control remediation project across all business groups

--- Conducting quarterly quality assurance reviews of major requirement evaluation data and providing credible challenge

--- Establishing processes to provide effective and timely implementation of regulatory change requirements.

--- Assisting with annual compliance aggregated risk assessment (CARA)

--- Implementing and providing periodic metrics to report the state of compliance

--- Providing regulatory advisory support to businesses

The candidate may work closely with other groups within FCRM, Group Financial Crimes Control Leaders and their teams, WFAS and the Law Department.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


    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


      Other Desired Qualifications--- 3+ years of experience with BSA/AML/OFAC laws and regulations

      --- 3+ years of experience with Financial Crimes Risk Management (FCRM)

      --- CAMs certification

      --- Ability to interact with all levels of an organization

      --- Knowledge and understanding of risk management

      --- Strong working knowledge of SHRP Compliance Management, Governance Management and Business Profile Management modulesDisclaimer


      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.


      CORPORATE RISK

Keywords: Wells Fargo, Portland , Compliance Consultant 4 - Regulatory Source Owner / Designee, Professions , Portland, Oregon

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