Sep 14, 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. 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. The Enterprise Functions Testing and Validation (T&V) team within Enterprise Testing is responsible for planning and executing control testing and issue validation in accordance with Enterprise Testing Operating Procedures. We are seeking an experienced candidate who will be responsible for overseeing BSA/AML/OFAC/Financial Crimes compliance and operational risk control testing activities within the areas of Enterprise Finance, Corporate Risk, Audit, HR, Stakeholder Relations and Legal. The successful BSA/AML/OFAC/Financial Crimes Compliance Consultant 5/Lead Consultant candidate will focus on overseeing and managing control testing review activities in order to assess adherence to regulatory and internal policy requirements and evaluate effectiveness of business processes, controls and risk management activities within Enterprise Functions. This individual will be responsible for executing against the Enterprise Functions Test Plan and Schedule and providing appropriate credible challenge with business partners in order to provide quality control testing results that improve business practices. Responsibilities for this position include, but are not limited to: Oversee and direct the day to day activities of control testing engagement review activities specific to BSA/AML/OFAC/Financial Crimes to ensure completion within scheduled timeframes and assist with program development, planning, and scheduling. Support and develop team member's knowledge and understanding of compliance review activities and ensure reviews are designed and executed effectively to evaluate risks. Exercise effective communications and promote positive client relations with business line team members and management. Collaborate with and communicate emerging risks, review activity findings, and recommendations to senior management and risk partners. Facilitate an efficient and valued review activity process through succinctly written test work summaries and control testing reports; ensure risks are understood and mitigated, provide credible challenge to the business, consistent with Wells Fargo's Vision and Values. Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed and apply risk management principles effectively. Understand and effectively apply the Independent Monitoring, Testing, and Validation Policy and the Enterprise Testing Operating Procedures. 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 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 motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Ability to articulate issues, risks, and proposed solutions to various levels of staff and management Other Desired Qualifications 3+ years of compliance testing, audit or related experience Experience in BSA/AML/OFAC/Financial Crimes Audit, Compliance, Risk and Testing Knowledge of BSA/AML/OFAC/Financial Crimes laws and regulations Experience overseeing and leading control engagement, regulatory, and compliance reviews Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence Experience assessing test scope, designing test scripts, as well as executing, documenting and reporting on compliance testing Critical Thinking and Analytical skills Experience planning and performing review activities within operational risk framework Experience with risk reporting tools to include SHRP, SHRP Reporting, etc. Experience testing regulations, policies and procedures/control testing Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry Knowledge and understanding of operational risk management procedures for lines of businesses within Enterprise Functions, risk mitigation or remediation Ability to successfully address and resolve conflict in a leadership capacity consistent with Wells Fargo's Visions and Values Ability to work in a team environment, demonstrating leadership skills and proactively driving deliverables and achieving business goals One or more of the following certifications is desired: Certified Anti-Money Laundering Specialist (CAMS) Certified Fraud Examiner (CFE) 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) Job Expectations Ability to travel up to 10% of the time Street Address NC-Charlotte: 401 S Tryon St - Charlotte, NC 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 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.
Charlotte, NC, USA