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Compliance Consultant 4 - Enterprise Testing

Company: Wells Fargo Bank
Location: Kannapolis
Posted on: November 26, 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.Wells Fargo is seeking an experienced Compliance Consultant responsible for executing testing for the Consumer Banking /Payments Virtual Solutions and Innovations Testing & Validation Channels (CB/PVSI, T&V) team. -This position will primarily perform testing assignments of processes owned by Wells Fargo Virtual Channels- Digital and Innovation as well as other select business units within PVSI. The successful candidate will interact regularly with the CB/PVSI Compliance and Operational Risk teams, line of business partners as well as others in the Second Line of Defense and Wells Fargo Audit Services. -The testing program will ensure consistency with CB/PVSI Testing and Validation's commitment to our customers, the Wells Fargo Vision & Values and risk appetite.The successful candidate may be involved in designing and developing complex testing strategies, methodologies and analyses; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifying issues resulting from internal and/or external compliance examinations. Responsible for overseeing the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management. May provide direction to the business on developing corrective action plans and effectively managing regulatory change. Reports findings and recommendations to senior management and to appropriate committees. May be involved in identifying compliance training and awareness needs or the development, delivery and administration of training and awareness content. May lead project/virtual teams and mentor lower level staff.Specific Job Responsibilities:

  • Participating in complex testing engagements for multiple regulatory and operational risks impacting CB/PVSI Channels
  • Engaging closely with lines of businesses to gain a clear understanding of their process flows, their operational and regulatory risks and the controls in place to mitigate these risks
  • Developing testing strategies and methodologies that address the goals and objectives of the products, processes and risks for the areas being tested.
  • Evaluating the adequacy and effectiveness of line of business policies, procedures, processes and initiatives
  • Drafting reports that clearly articulate work performed and summarize testing results to line of business
  • Developing long-term collaborative partnerships across the various lines of business with whom you work

    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
      • Ability to articulate complex concepts in a clear manner
      • Knowledge and understanding of audit methodologies and tools that support audit processes
      • Outstanding problem solving skills
      • Ability to identify and evaluate trends, isolate root cause, and provide swift/thorough resolution
      • Ability to organize and manage multiple priorities
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • A BS/BA degree or higher

        Other Desired Qualifications
        • Audit or compliance related certification such as the CRCM, CPA, CIA, etc.
        • Prior hands-on control testing experience in Operational Risk, Compliance or Audit departments
        • Prior experience obtaining population datasets and creating randomized samples
        • 3+ years of compliance and controls testing experience
        • At least 6 years in Audit, Risk and/or Compliance testing operational and compliance controls
        • Critical Thinking and Strong analytical skills with high attention to detail and accuracy
        • Exposure to using a compliance system of record
        • Experience providing credible challenge to business partners when necessary
        • Proven ability to implement and influence change and controls across a line of business as work is accomplished through managers/consultants/specialist, cross-functional/virtual team, and matrixed teamsFor Testing and Validation Positions Only: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) For Testing and Validation Positions Only


            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, Kannapolis , Compliance Consultant 4 - Enterprise Testing, Accounting, Auditing , Kannapolis, North Carolina

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