Compliance Consultant 4

Wells Fargo | New York, NY

Posted Date 9/13/2019
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.

This Compliance Consultant 4 position will be responsible for performing compliance risk management activities in support of the Compliance team responsible for oversight of the enterprise-level Volcker Compliance Program at Wells Fargo.  This role will be responsible for assisting the team in conducting its periodic Volcker Rule monitoring of front line trading and investment fund activities; reviewing trade and investment fund data and preparing various periodic management and governance committee reports; coordinating the preparation of committee presentations, managing the committee meeting process, and recording minutes of such meetings; liaising with the lines of business to assist in their identification and resolution of Volcker Rule related issues; liaising with other second line functions (risk management, technology) to ensure Volcker Rule processes and their supporting tools operate effectively; coordinating and assisting in meeting audit or testing requests; and coordinating regulatory agency examination requests.



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
  • Knowledge and understanding of international or global financial services
  • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry


Other Desired Qualifications
  • Proficient working knowledge of Microsoft Excel including ability to analyze large data files, creating summary tables and identifying anomalies
  • Strong investigation and problem solving skills
  • Demonstrated ability to work within an evolving environment and function
  • Ability to identify enhancement opportunities and working with technology partners to implement any enhancements
  • Experience working in a large financial institution enterprise environment
  • Working knowledge of the Volcker Rule, or general familiarity and ability to master it under tight time constraints
  • Experience in multiple areas of compliance risk and risks related to the rules and regulations of the FRB, OCC, SEC, FINRA, CFTC, and/or other federal, state and local laws and regulations
  • Experience with oversight of bank or securities and/or trading compliance programs and compliance risk assessments




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.

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