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Compliance Consultant 5 - Wholesale Operations Compliance

Company: Wells Fargo
Location: Hicksville
Posted on: February 24, 2019

Job Description:

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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take 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.Wholesale Operations Group resides within the Wholesale Banking Chief Operating Office and is comprised of Wholesale Loan Services, Commercial Real Estate Loan Services, Business Banking Group Operations, Wells Fargo Commercial Capital Operations and Auto Lending Services. Key functions performed by Wholesale Operations include: credit analysis, documentation, flood determination, hazard insurance monitoring, UC filling, tax contracts, loan servicing, collateral monitoring, records servicing and agency services.This position will support the Wholesale Operations Compliance team within Wholesale Compliance. This Compliance Consultant will implement key elements of the compliance program, including compliance risk assessments, regulatory change management, initiative management, establishment and implementation of policies and standards, delivery of compliance training and awareness, compliance issue management, metrics and reporting.Specific Job Responsibilities:

  • Provide strategic direction and guidance to Wholesale Operations and the control executive team regarding applicable laws, rules, regulations, enterprise standards and compliance-related best practices.
  • Assist in key enterprise and Wholesale compliance program elements with respect to Wholesale Operations, including compliance risk assessments, initiative management, establishment and implementation of policies and standards, delivery of compliance training and awareness, metrics and reporting.
  • Establish processes to provide effective and timely implementation of regulatory change requirements applicable to Wholesale Operations and other groups within the Wholesale Chief Operating Office.
  • Complete evaluations of new and existing major requirements and oversee annual compliance aggregated risk assessment.
  • Manage and track compliance issues related to Wholesale Operations and other groups within the Wholesale Chief Operating Office.
  • Implement periodic metrics and reporting to track the state of compliance for the Head of Wholesale Operations Compliance, Head of Wholesale Bank Regulatory Compliance and Head of Wholesale Compliance.
  • Foster an environment that supports strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance and other corporate stakeholders to facilitate transparency, balance and credible challenge.
  • Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business lines, legal entities, geographies, and jurisdictions; and escalate compliance issues to senior Compliance management.Preferred locations listed, other Wells Fargo footprint locations may be considered.Please 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
    • 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

      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
      • 8+ years of lending related financial regulations experience
      • Knowledge and understanding of regulatory compliance requirements surrounding business and consumer-lending or deposit laws and regulations
      • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
      • Ability to develop partnerships and collaborate with other business and functional areas
      • A Juris Doctor (JD) degree
      • A Master's degree or higher
      • Knowledge and understanding of the Flood Disaster Protection Act (FDPA)
      • An active Certified Regulatory Compliance Manager (CRCM) designation

        Other Desired Qualifications
        • At least 5 years' experience with commercial/wholesale bank/division, regulatory agency, law department/firm, compliance, auditing or consulting firm
        • Proven knowledge of operational risk, business operations, and processes and systems controls across a variety of complex financial services related businesses
        • Experience in building/designing a control infrastructure through policies, procedures, guidance documents, and training development

          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, Hicksville , Compliance Consultant 5 - Wholesale Operations Compliance, Professions , Hicksville, New York

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