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Operational Risk Manager 4 - Pre-Validation Program Lead

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.Consumer Banking is an industry leader in supporting homeowners and consumers, in addition to operating one of the most extensive banking franchises in the country. We serve mass market, affluent, and small business customers; as well as provide home and personal lending. Our focus is on delivering an exceptional experience for our customers through financial advice and guidance coupled with providing the products and services that will help them realize their financial hopes and dreams. - We've built our team of top professionals by rewarding their accomplishments and ensuring they have what's needed to succeed.The Enterprise Complaints Management Office (ECMO) plays an integral role in having an enterprise view of our customer concerns, identifying risks in a timely manner, providing enhanced reporting capabilities at the line of business and Enterprise levels, and delivering a variety of benefits to our business. This Office includes four main functions: - Executive Complaint Operations, Data Analytics and Reporting, Quality Assurance, and Complaints Shared Services. Together these teams focus on capturing, researching, and resolving customer dissatisfaction; executing deep root cause analysis; and proactively identifying continuous opportunities that are engineered to improve our customers' experience and drive out dissatisfaction.The Role:This Operational Risk Manager role will report directly to the ECMO Exam and Issue Management Team Leader. The person selected for this role will be responsible for:

  • Managing issue pre-validation commensurate with the severity and complexity of the issue to confirm that each issue is fully resolved.
  • Develop, execute and manage a comprehensive issue remediation pre-validation approach to provide assurance that -all steps within the corrective action were completed and the desired target state was achieved.
  • The corrective actions addressed the root cause and mitigated recurrence of the issue.
  • New or enhanced front line self-assurance activities were implemented (if applicable) to provide ongoing or routine assurance that processes and controls are operating as expected and that risk is sufficiently mitigated to an acceptable level, and the corrective action is sustainable over time.
  • Solution Integration Into Compliance/ Risk Management Framework
  • Issues Population Completeness AssessmentThis role will be visible, demanding, and rewarding, interacting regularly with key partners in WFRR, WFAS, Corporate Risk, Control Executives teams, businesses, and enterprise functions (including ECMO Leadership, Enterprise Testing, and Legal) across Wells Fargo.Job responsibilities include, but are not limited to:
    • Manage pre-validation activities that at a minimum include a review of:
    • Issue details, including who identified the issue (source), how it was identified, and the associated risk -
    • Root cause analysis to determine whether it was performed sufficiently -
    • Cross-business impact review including potential impacts to other areas of the business group or company, such as other products, channels, legal entities, systems, or customers; this analysis must also determine whether the other impacted areas have been informed of the issue and if the solution corrects deficiencies in the other impacted areas or if the areas have opened a self-identified issue for corrective action
    • Customer impact and remediation tracked in SHRP Remediation Management, if applicable (validation of remediation activities may be managed separately from the issue and subject to the Customer Remediation Policy requirements)
    • Corrective action development, design, and execution, considering the nature (manual, automated, preventive, or detective) and design of current versus target control environment, including whether: -Changes to technology, business processes, policies, or procedures addressed the root cause of the issue -
    • The complexity of the process and ability to identify future control weaknesses or gaps was considered
    • The current execution frequency of the revised process was defined and met
    • The target state success criteria were defined -
    • The number of cycles required to demonstrate sustainability in target state was defined and met
    • Sustainability to determine whether the corrective actions provide sustainable issue mitigation of recurrence of future issues; whether updates to business quality assurance and quality control and monitoring activities for ongoing oversight were included, if applicable; and whether target state success criteria were achieved -
    • Comprehensive and complete documentation and evidence maintained to support completion of corrective actions, validation activities, key management decisions, required approvals, and sustainabilityAs 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.
      • Accomplish 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
        • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both
        • 5+ 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
            • 8+ years experience in internal auditing or compliance testing
            • 8+ years issue validation auditing experience
            • Ability to interact with all levels of an organization
            • Strong collaboration and partnering skills
            • Prior experience in managing the execution of testing at the group or enterprise level
            • Ability to synthesize issues resulting from testing and/or review results
            • Experience in developing and implementing process control enhancements for business processes
            • Understanding and appreciation of exposure to regulators or regulations

              Street Address
              NC-Charlotte: 401 S Tryon St - Charlotte, NC


              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 , Operational Risk Manager 4 - Pre-Validation Program Lead, Executive , Kannapolis, North Carolina

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