Wells Fargo

Job Category:

Securities

Location:

Saint Louis, Missouri

Country:

US

Approximate Salary:

Not Specified

Position Type:

Full Time

Phone:

415) 820-7800

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Compliance Consultant 4

Wells Fargo - Saint Louis, Missouri

Posted: 10/25/2018

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.

Brief Group Description (i.e. description of your team’s responsibilities):

The Technology Compliance Program is aligned with Wells Fargo Securities (“WFS”), including but not limited to broker-dealer, Swap dealer, Foreign Exchange, etc. The group is responsible for independent risk management oversight and maintaining an assurance function that monitors the compliance programs of Enterprise Information Technology (“EIT”) as they impact the regulatory risk of WFS.

The scope of the assurance program for EIT covers areas and functions including, but not limited to, books & records, information security, FINRA Covered Functions, and electronic communications.

Job Description:

The Compliance Consultant will support the Technology Compliance Program aligned with Wells Fargo Securities (“WFS”), including but not limited to broker-dealer, Swap dealer, Foreign Exchange, etc. This role will be responsible for independent risk management oversight and maintaining an assurance function that monitors the compliance programs of Enterprise Information Technology (“EIT”) as they impact the regulatory risk of WFS.

The assurance program will incorporate the elements of an effective compliance program set forth in Wells Fargo policy, including but not limited to:

  1. Risk Ownership & Governance
  2. Risk Identification & Assessment
  3. Policy, Procedures & Controls
  4. Review Activities
  5. Reporting & Metrics
  6. Issue Management, Escalation & Corrective Action
  7. Training & Awareness
  8. Regulatory Interaction & Coordination

The scope of the assurance program for EIT covers areas and functions including, but not limited to, books & records, information security, FINRA Covered Functions, and electronic communications.

The Compliance Consultant is expected to foster productive working relationships with stakeholders across the Enterprise, including EIT management, WFS business management, and other compliance and risk management teams.

The Compliance Consultant responsibilities will include but will not be limited to:

  • Assist on projects defined by the Technology Compliance Manager
  • Conduct oversight and monitoring activities
  • Provide credible challenge to processes, controls and risk-mitigating activities performed by EIT
  • Identify and assess risk associated with the Technology Compliance Program as it relates to communications and collaboration, information security and other key topics
  • Establish, enhance and maintain policies and procedures and training supporting the Technology Compliance Program
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
Other Desired Qualifications
  • Experience in technology risk management within financial services industry, preferably within capital markets
  • Proven experience in enterprise risk management and corporate governance
  • A solid understanding of risks and controls
  • Ability to analyze and communicate the applicability of laws, rules, regulations to technology leaders
  • Excellent verbal, written and interpersonal communication skills, with the ability to initiate action, challenge others, make difficult decisions, generate creative solutions, achieve results and accept challenging assignments
  • Sound judgment and problem solving abilities
  • Highly organized with the ability to engage in several projects at one time, prioritize and meet deadlines
  • Strong analytical skills with high attention to detail and accuracy
  • FINRA Series 99 or equivalents (or willingness to take exam within the first year)
Street Address

NC-Charlotte: 550 S Tryon St - Charlotte, NC
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.

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