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Compliance Manager 3 - Enterprise Testing

Company: Wells Fargo Bank
Location: Kannapolis
Posted on: November 21, 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.This manager will be accountable for developing and executing independent operational and compliance risk control testing for the Educational Financial Services, and Personal Lines and Loans products and associated production processes. Strong business acumen and experience will be a determining factor in selection. Successful candidates will be articulate, thought leaders, and possess demonstrated leadership capability; they will be impressive in their inter-personal effectiveness, with regard to their accomplishments, and with a proven ability to engage and influence senior management and business and risk partners.Specific Job Responsibilities:

  • Manage a team that plans and executes compliance and operational risk control testing. Manage a team accountable for conducting end-to-end business process walkthroughs, identifying risks and primary and compensating operational and compliance controls, evaluating control design, and testing the effectiveness of manual and automated controls.
  • Accountable for assessing the universe of Risk Assessable Units (RAUs) in the business and providing effective challenge to business and risk and compliance partners when risks, Major Requirements (MRs) and operational controls are missing, inadequate, or ineffective.
  • Develop the team's review and validation schedule and manage engagements to planned dates, resources, and hours. Anticipate changes in the internal and external environment and adapt the testing program of the team accordingly.
  • Management responsibilities include sourcing and hiring talented team members, providing ongoing performance feedback and coaching, recognizing and developing team members with stretch assignments, and completing daily management tasks.
  • Supervise the testing teams throughout the life cycle of the review activities to provide ongoing guidance on scope, sampling, testing approach, issues, work papers, quality reviews, etc.
  • Develop relationships with the business and implement an effective engagement model for the team and business. Partner with legal, compliance, and business partners to stay tuned with ongoing business process changes, regulatory expectations, customer feedback, etc.
  • Improve bench strength of the team. Develop subject matter expertise within the team of all the major products, services, and processes in the line of business and develop a thorough understanding of the laws and regulations, regulatory guidance, and policies and procedures of the functions reviewed.
  • Elevate the team's quality of work performed. Review quality assurance feedback and take appropriate actions to address areas requiring attention.
  • Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency. Partner with other Products teams to drive synergies across the broader team.
  • Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls.
  • Stay abreast of management's plans to address corrective actions and work with the validation team to understand and assess residual risks.
  • Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the board.
  • As needed, present work performed to audit, regulators, and other business partners.As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
    • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
    • ccomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

      Required Qualifications
      • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 3+ 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 articulate complex concepts in a clear manner

          Other Desired Qualifications
          • Experience in Audit, Compliance, Risk and Testing
          • Critical Thinking and Analytical skills
          • Experience cultivating relationships and collaborating with business partners, legal, compliance
          • Ability to multi-task and meet deadlines despite competing priorities
          • Audit or compliance related certification such as the CPA, CIA, CRCM, etc.
          • Knowledge of risk platforms used at Wells Fargo and experience with testing & monitoring activities
          • 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

            Job Expectations
            • Ability to travel up to 10% of the time

              Street Address
              MN-Minneapolis: 600 S 4th St - Minneapolis, MN
              MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
              IA-Des Moines: 800 Walnut St - Des Moines, IA
              IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
              NC-Charlotte: 401 S Tryon St - Charlotte, NC
              OR-Portland: 1300 Sw 5th Ave - Portland, OR
              TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
              TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
              SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
              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, Kannapolis , Compliance Manager 3 - Enterprise Testing, Executive , Kannapolis, North Carolina

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