Wells Fargo

Job Category:

Technology and Risk, Risk/Compliance, Corporate Functions


Winterville, North Carolina


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Manager 4 - Robotics Testing Development & Process Mining

Wells Fargo - Winterville, North Carolina

Posted: 09/22/2018

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.

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.

This leader will be responsible for establishing automation routines across the Enterprise Testing teams, while also partnering with IT departments and LOBs to understand process and systems in order to identify appropriate testing opportunities for robotics. The leader will work across teams to gather requirements and plan pilots through full deployment of tools and processes. This role will also be key in developing process mining capabilities to support the Enterprise Testing and Validation group. The manager will help in decisions of buy vs. build for process mining software and calculations. They will be promote the benefits of this technology, while parting with IT departments and LOBs to understand appropriate opportunities for process mining. The role will work across teams to gather requirements and assist in planning pilots through full deployment of tools and processes.

This role has exposure to a wide variety of process problems and their solutions; this leader will draw on their experience to drive the adoption of best practices around process enhancement, and performance of the project team. Responsibility is broad and touches the following areas:

Testing Process Design:

  • Implement robotics for testing activities across the Second Line of Defense and lead a team of process experts to assist in the development of Artificial Intelligence / Machine Learning (AI/ML). This work will remove the manual review of transactions by the testing teams and would only require review of Robotics Process Automation (RPA) exceptions or referrals.
  • Drives implementation and adoption of robotic process automation within Enterprise Testing
  • Partners with business groups to gain process understanding to provide clear direction for robotics and AI / ML development
  • Develops ideas and supporting implementation of solutions
  • Liaisons with Corporate RPA team and other Functional teams to help design technical specifications for RPA implementation projects
  • Analyzes client processes, identifies automation opportunities, defines RPA value proposition, reengineers processes to improve automation potential and recommends RPA approach/strategy
  • Leads development of detailed As Is Process Description - PDD (Process Description Document), Detail To Be Automated Process Description - SDD (Solution Design Document)
  • Leads workshops at client location and conduct RPA High Level Assessment
  • Works with efficiency review teams and robotics teams to develop detailed “To Be Automated” Process Description - SDD (Solution Design Document) and suggests process improvements
  • Provides continuous advice to RPA developers and Project Manager during project delivery
  • Develops team to impact success of functions
  • Owns and delegates a wide variety of responsibilities effectively, including overall success of automation projects

Validation Design & Root Cause Analysis:

  • Investigates and analyzes automation processes and identifies potential root cause of each defect, failure, and deviation

Artificial Intelligence/Machine Learning Design Support & Validation:

  • Supports AI / ML development by providing process understanding, partnering with AI / ML development team to assess applicability of AI / ML in the process.
  • Leads validation of efficacy of AI / ML tools in production by reviewing output of AI / ML against reality

Process Mining:

  • Promote process mining and the paradigm shift it creates in continuous process discovery and improvement for businesses globally
  • Help prospective clients and partners clearly understand how process mining translate into return on investment
  • Help prospective clients and partners to market process mining to their internal stakeholders (C-suite, IT, Procurement etc.) by helping them to build strong data-driven business cases
  • Lead technical projects from beginning to the end to clearly show how client process mining can be turned into value
  • Help clients build internal process mining capabilities in the front line
  • Assist in conducting full process discovery and improvement analysis projects

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

This role is open to any location within the Wells Fargo Corporate Risk Footprint.

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
  • 5+ years of management experience
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 articulate complex concepts in a clear manner
Other Desired Qualifications
  • Ability to initiate action, make difficult decisions, and generate creative solutions
  • Ability to build and deliver innovative, industry leading solutions
  • Strong organizational, multi-tasking, and prioritizing skills
  • Experience driving multiple complex initiatives through the development, testing and implementation life cycle so will be able to successfully navigate the complex technical environment
  • Six Sigma and Agile training/experience preferably within a technical environment
  • Experience with requirement gathering and documentation; Ability to create and document complex business and functional requirements
  • Risk process mapping experience and the ability to think systemically, end to end with a risk management perspective
  • Compliance testing experience, preferably to include full lifecycle of the testing process to include test script design and control
  • Experience or direct knowledge of Robotics
  • Experience using or working knowledge of Artificial Intelligence tools
  • Ability to synthesize disparate information into a consolidated narrative
  • 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
  • Strong problem solving skills
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability
  • Ability to negotiate, influence, and collaborate to build successful relationships
  • Knowledge and understanding of project management principles: performance report development, management dashboards, and key metrics documentation
  • SHRP platform experience
  • Experience delivering results in a fast-paced, deadline driven environment
Job Expectations

  • Ability to travel up to 40% of the time
Street Address

NC-Winterville: 1451 Thomas Langston Rd - Winterville, NC
NC-Charlotte: 401 S Tryon St - Charlotte, NC
NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC


  • 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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