Wells Fargo


Charlotte, North Carolina



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

Compliance Consultant 5

Wells Fargo - Charlotte, North Carolina

Posted: 11/28/2018

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

Wells Fargo Compliance is the company’s compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all 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

This position supports the compliance program for Wells Fargo Securities, Government and Institutional Banking, and Corporate Banking lines of business (the “Compliance Program”) through the management of key Compliance Program initiatives. This position sits within a team that supports the Compliance Program through the (1) design, execution, and maintenance of processes and procedures that constitute, define, or affect the Compliance Program as a whole or several areas within the Compliance Program; and (2) collaboration on behalf of the Compliance Program with business, risk and support partners.

This position will manage key Compliance Program initiatives. These may include:

  • Broad initiatives to enhance Compliance Program processes, roles, technology, and data.
  • Broad initiatives to assess impacts to the Compliance Program by emerging risks (i.e., new rules/regulations/laws, new policies, new best practices, organizational and infrastructure changes.
  • Initiatives to aggregate Compliance Program information in response to information requests from business, risk, and support partners.
  • Coordinate reviews by audit and testing partners on the Compliance Program’s behalf.

Specific duties for this position include, but are not limited to:

  • Leading and/or managing the planning, execution, and resolution of Compliance Program initiatives, including those that have high visibility and are long-term.
  • Coordinating and partnering with team members in business, support, and risk roles in various business areas within the Wells Fargo Securities, Government and Institutional Banking, and Corporate Banking lines of business and throughout the enterprise.
  • Interacting with senior leadership and major stakeholders in the process of planning, executing, and resolving initiatives.
  • Designing, preparing, and distributing reporting regarding the initiatives.
  • Consulting with partners to clarify and define complex Compliance Program initiative goals, requirements, milestones, action items, and accountabilities.
  • Demonstrating and taking ownership of the entire initiative from beginning to end.
  • Developing and implementing program and initiative level processes, procedures, and performance metrics.
  • Providing leadership in the integration/implementation of programs/services/initiatives with cross functional business partners, recognizing the significance of competing priorities and strategies, and adjusting as necessary.

Location: Charlotte, NC

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
  • Leadership experience
Other Desired Qualifications
  • Significant experience in one or a combination of the following: project management, program building/implementation, or strategic planning
  • Securities industry experience -- with Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB), Commodity Futures Trading Commission (CFTC) regulated businesses and requirements
  • Experience with measuring performance and/or risk through quantitative and qualitative measures (key risk and performance indicators)

  • 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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