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Compliance Consultant 4 – Enterprise Testing

Wells Fargo Bank

This is a Contract position in Berkeley, CA posted October 29, 2019.

Job Description 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.Wells Fargo Compliance is the company’s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks.

Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements.

It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.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.Primary Duties and Responsibilities -include but are not limited to: Plan and perform risk-based review activities that independently evaluate the effectiveness of Wells Fargo’s businesses’ operational controls and its compliance with key regulations and policies.

Develop, plan and perform issue validation activities that independently evaluate the adequacy, comprehensiveness and effectiveness of corrective actions taken by businesses to remediate critical issues Identify deficiencies and recommend solutions to complex issues Work with Front Line and Independent Risk Management teams to agree on corrective actions to strengthen monitoring and testing programs Ensure identified deficiencies are promptly addressed and effectively resolved Write reports or presentations that clearly articulate the results/conclusions of review activities and communicate to key stakeholders across the company Lead or assist in investigating and reporting issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing team members, as appropriate Assist on Independent Risk Management projects Work collaboratively with internal and external stakeholders and across groups/LOBs and with other risk management teams Maintain an understanding of the Corporate Risk Framework and the interconnectivity of its key components Maintain an understanding of business operations and regulatory guidance/expectations Anticipate changes in the internal and external environment and adapt the testing program accordingly Provide guidance during risk assessment processes and state of operational risk and compliance reporting As appropriate, assist with the development of training/procedural materials Work with senior management, Legal Department and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations Ensure proper and effective communication (including developing reporting) is in placePlease Note:
– Based on the volume of applications received, this job posting may be removed prior to the indicated close date.

If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

– 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 prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Experience consulting, influencing and partnering with business executives, leadership, human resources partners and peers Ability to identify and present processes/operational enhancements Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important Ability to think creatively to find innovative solutions to complex analytical questions Ability to drive and lead organizational change in a dynamic environment Solid critical thinking skills Solid conflict management and decision making skills Leadership skills including the ability to influence effectively in a matrix environment Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members Ability to take initiative and work independently with minimal supervision in a structured environment Ability to articulate issues, risks, and proposed solutions to various levels of staff and management A BS/BA degree or higher Strong analytical skills with high attention to detail and accuracy Other Desired Qualifications Experience in Audit, Compliance, Risk and Testing Testing experience across multiple lines of business Knowledge of consumer regulations Experience providing credible challenge Experience with risk systems such as Shared Risk Platform (SHRP), Risk and Control Self-Assessment (RCSA), Control Risk Analysis System (CRAS) or an equivalent risk platform -For 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 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.