Wells Fargo


Charlotte, North Carolina



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Consultant 5 - Compliance Plan Initiatives

Wells Fargo - Charlotte, North Carolina

Posted: 12/7/2018

Job Description

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,200 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 265,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune’s 2017 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.

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.

Enterprise Functions Compliance is responsible for overseeing compliance risk management across six Enterprise Functions: Enterprise Finance & Information Technology, Human Resources, Stakeholder Relations, Legal Department, Corporate Risk, and Wells Fargo Audit Services. In addition, the group oversees regulatory requirements aligned to other Risk functions as well as a number of regulations and compliance programs that cross multiple lines of business.

The Enterprise Functions Compliance Shared Services function is responsible for facilitating and coordinating the implementation and consistent execution and reporting of the enterprise-wide compliance risk management activities in accordance with the Wells Fargo Compliance Program Policy across the six Enterprise Functions groups.

Candidate will directly support the Head of Enterprise Functions Compliance Shared Services function in Enterprise Functions business management (e.g., HR processes), Compliance Plan initiatives, enterprise risk initiatives, Risk Target Operating State (TOS)/ Transformation projects, and end-to-end connectivity across Risk Programs.

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

  • Partner with WF Compliance Strategy and Operations Team on TOS-related initiatives (e.g., alignment of foundational components across all risk programs)
  • Partner with WF Compliance Strategy and Operations Team to develop new and/or continuously enhance existing reporting to reflect changes or new needs based on Risk Management Transformation, TOS, Risk Management Framework or other enterprise or Compliance programs
  • Work closely with Enterprise Functions Compliance Team and collaborate with WF Compliance Strategy and Operations Team to evaluate technology needs and identify technology solutions target future state
  • Work closely with WF Compliance Strategy and Operations Team to ensure effective execution of business processes in alignment with enterprise policies and procedures
  • Manage Enterprise Functions Compliance FTE tracking
  • Support staffing assessments and analysis, identifying gaps with proper escalation
  • Coordinate the annual functional risk certification process across other risk functions responsible for managing regulatory requirements
  • Work with key stakeholders to manage enhancement and remediation projects, including formulating project plans and timelines, facilitating working sessions, reporting on progress, and driving execution
  • Build strong partnerships and collaborate effectively externally with business, enterprise risk, and internally with enterprise Compliance
  • Perform or assist team members with ad hoc assignments/ projects

Location is Charlotte, NC

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
  • A BS/BA degree or higher
  • Ability to work effectively in a virtual team environment
  • Ability to work with limited supervision
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to create and deliver dynamic presentations
  • Ability to consult, build, and maintain solid working relationships in and outside of immediate department
  • Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management
Other Desired Qualifications
  • Demonstrated strong process management skills, Experience in problem analysis, solution implementation, and change management
  • Ability to look at the risks associated with emerging technologies, capabilities and activities that could drive risks we have not managed previously. Ability to synthesize complex system related concepts into audience appropriate communications
  • Ability to create new policy, guidance, and/or guardrails in areas where there is no roadmap, rules or previous foundation to rely upon
  • Demonstrated ability in expressing a point of view with senior management
  • Successful at developing reporting requirements, conducting data analysis
  • Proven ability to positively and creatively influence change and champion critical change initiative; help others to anticipate and manage through change

  • 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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