Mar 28, 2020
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. The Technology Compliance team within Wells Fargo Compliance is an independent risk management team responsible for overseeing regulatory compliance risk matters for the Wells Fargo technology businesses by providing compliance advice and consulting, credible challenge and escalation, monitoring of business self-assurance activities, engagement with Enterprise Testing on testing activities and results, engagement in the Regulatory Change Management processes by determining applicability of Major Compliance Requirements to the technology business and performing control suitability and initial evaluation assessment and appropriate compliance reporting and assessments (such as the Compliance Aggregated Risk Assessment). This is an exciting time in Wells Fargo Compliance as we implement the Risk Target Operating State across Wells Fargo. The Technology Compliance team works closely with our front-line technology risk partners to drive clarity in implementation of the Wells Fargo Compliance Program and associated process improvements. Technology Compliance also supports cross-functional activities within Enterprise Functions such as Major Requirement Nominations council member and development/owner of Enterprise Functions-wide business procedures. We also work closely with partners in other units such as Legal, Operational Risk, Technology Risk Management Oversight and Finance to achieve group and enterprise goals. The Compliance officer will develop, execute and/or improve elements of the Compliance Program Policy within the Technology Compliance team including: Note: This role will align to a variety of the program elements, but not responsible for all. Risk Identification and Assessment Risk Measurement Regulatory Change Management Policies, Procedures, and Related Controls, Compliance Monitoring, Testing, and Self Assurance Compliance Reporting Compliance Learning and Development Technology and Data Management Technology Project and Incident Review and Reconciliation Business Process Management Third-Party Compliance Risk Management Compliance Issue Management and Escalation Technology Compliance Emerging Risk Compliance Program Effectiveness Execution Compliance Engagement in Change, Incident and Issue Program Oversight Regulatory Relations The role will also be aligned to support Regulations impacting technology lines of business. As the point of contact within Technology Compliance, the team member will partner with the Regulatory Source Owner, as needed, to support the LOB and evaluate controls aligning to the Regulation's Major Compliance Requirements. Additionally, the role will assist the Compliance Manager and team members with process/procedure documentation and improvement, ad-hoc requests, projects and incident reviews. Specific duties for this position may include, but are not limited to: Enhance monitoring activities for our coverage area (Technology and Information Security). Communicate compliance activities, regulatory or policy changes, or other compliance impacts, projects, incident, risk assessments, etc. ensuring the front-line units are aware and understand their role, related risks and impacts, and expectations including engaging Compliance as necessary, or outcomes Provide leadership and guidance for Compliance Program(s) Execute the Compliance Program and understanding those corporate policies and procedures related to compliance with regulatory requirements that apply to their role and to the technology businesses Demonstrate independent and professional judgment in order to protect the interests of Wells Fargo while providing credible challenge and oversight of the businesses Improve reporting for all businesses supported; enhance and evolve ongoing periodic meetings, establish measurements of adherence to requirements and reporting to keep the business and leadership apprised of all risk program work and impacts Build and strengthen new and existing relationships across the businesses and create solid partnerships with other risk partners both US and International with the Front Line Be a trusted and essential partner and seen as a value add to the business integrate and strengthen Risk management programs via implementation of consistent enterprise-wide standards for risk identification, assessment, measurement, monitoring and control of material risks across the enterprise Consult with business in development of compliance issues, corrective actions, review of exceptions and escalations Participate in risk based evaluations of compliance risks, providing insight into risk and control effectiveness ratings (includes Third Party Inherent Risk Questionnaire assessments) Accept/reject and evaluate Major Compliance Requirements as applicable, for assigned Regulations Assess adequacy of control design and performance as applicable Understand existing and potential risks associated with the compliance program and how risk impacts technology businesses Engage in business change activities to ensure effective compliance risk management, including check & challenge of business activities Oversee timely, effective and sustainable closure of remediation activities (Issues, Corrective Actions, MRA's, etc.) Provide oversight and guidance related to compliance training for enterprise functions area(s) of coverage May manage specific projects and provide guidance to less experienced consultants Escalate challenges as appropriate related to compliance risks to senior management when satisfactory alternatives are not reached with the businesses Engage in Business Process Management activities to provide Compliance review and challenge oversight Monitor the results of self-assurance activities and support the independent testing activities related to technology businesses Coordinate with and provide input into the testing scripts used by Enterprise Testing, and have frequent dialogue with Enterprise Testing regarding testing results 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 7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management 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 Other Desired Qualifications Advanced Microsoft Office skills and ability to analyze quantitative or qualitative data (data cleansing/extracting, pivot tables, SharePoint & Visio) Demonstrated ability to efficiently, clearly and explicitly condense complex information and scenarios to essential elements for executive recommendations & consumption Demonstrated ability to work independently, while ensuring appropriate transparency and escalation Experience in multiple areas of regulatory compliance (such as ADA III, Reg W, FCPA, etc.) and experience with risks and issue management related to consumer protection and general banking regulations of the OCC, FRB, CFPB & FINRA Knowledge and experience with technology-related regulatory requirements and frameworks including FFIEC IT Examination Handbooks, COBIT, COSO Demonstrated ability to work independently, while ensuring appropriate transparency and escalation Experience in multiple areas of regulatory compliance (such as ADA III, Reg W, FCPA, etc.) and experience with risks and issue management related to consumer protection and general banking regulations of the OCC, FRB, CFPB & FINRA Knowledge and experience with technology-related regulatory requirements and frameworks including FFIEC IT Examination Handbooks, COBIT, COSO Demonstrated information technology experience in areas such as product development, project management business analysis, systems development lifecycle, and application support Proven ability to collaborate and communicate at all organizational levels and present to multiple stakeholders, including business leaders, legal, audit and regulators Ability to respond quickly to changing job demands Wells Fargo compliance systems (SHRP) knowledge a plus, but NOT required (alternatively, familiarity with RSA Archer-based risk management solutions a plus) Risk-focused professional certification a plus (CRCM, CIA, CRISC, CCSA, CRMA, CISA, etc.) Job Expectations Ability to travel up to 5% of the time Street Address NC-Charlotte: 301 S College St - Charlotte, NC NC-Charlotte: 301 S Tryon St - Charlotte, NC NC-Charlotte: 550 S Tryon St - Charlotte, NC NC-Charlotte: 401 S Tryon St - Charlotte, NC NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX TX-Irving: 250 E John Carpenter Freeway - Irving, TX IA-Des Moines: 800 Walnut St - Des Moines, IA IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA MN-Minneapolis: 600 S 4th St - Minneapolis, MN AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ AZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZ AZ-Chandler: 2600 S Price Rd - Chandler, AZ AZ-Tempe: 1150 W Washington St - Tempe, AZ MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO 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