Wells Fargo


Charlotte, North Carolina


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Conduct Risk Consultant

Wells Fargo - Charlotte, North Carolina

Posted: 10/11/2018

Job Description

At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. 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.

We have a new and exciting opportunity for a Conduct Risk Consultant to join our Risk Assessment and Monitoring team within the Conduct Management Office (CMO). This team works across the CMO and plays an integral role in establishing both the CMO risk assessment and monitoring & validation programs. Both of these programs are key components of the CMO’s Corporate Risk Functional Framework (CRFF) and related implementation plan.

The person selected for this role will be responsible for assisting with the establishment and execution of conduct risk related assessment activities within the CMO. Maintains an awareness of the state of conduct risk across the enterprise and provides subject matter expertise; ensures that all conduct related business issues are proactively identified and addressed appropriately, escalating where necessary; maintains collaborative relationships across the business line control teams (front line) Independent Risk Management (IRM), and other oversight groups.

Primary Responsibilities include:

  • Evaluating the inventory of the Company’s conduct-related risks, policy requirements, and processes to identify and provide an end to end conduct risk assessment across the enterprise, working in conjunction with the front line of defense, other independent risk management functions, and CMO oversight team management;
  • Assisting in the maintenance of the Conduct Risk Assessment methodology and program, including development of templates and guidance documents;
  • Supporting efforts to ensure timely completion of the Conduct Risk Assessment, which covers all Wells Fargo business groups, both domestic and international, on an annual basis;
  • Supporting aggregation of risk assessment data for reporting activities.
  • Utilizing Conduct Risk Assessment results, work with CMO peers to develop recommendations for continued monitoring and validation activities that reduce exposure to conduct related risks.
  • Support review and challenge of front line activities related to conduct risk

Charlotte, Des Moines, and Minneapolis are the preferred location for this position; other locations will be considered.

Required Qualifications

  • 2+ years of experience in one or a combination of the following: conduct risk, 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 2+ years of business process management or financial services industry experience of which 1+ year must include direct experience compliance, operational risk management, or a combination of both; or a BS/BA degree or higher in business, compliance, or 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
  • Financial services industry experience
  • Knowledge and understanding of operational risk management in the financial services industry
  • Strong collaboration and partnering skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Data collection and reporting experience
  • Ability to be flexible and adjust plans quickly to meet changing business needs
  • SharePoint experience
  • Experience with Wells Fargo risk systems such as Shared Risk Platform (SHRP), Risk and Control Self-Assessment (RCSA), or Control Risk Analysis System (CRAS+)
Other Desired Qualifications
  • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
  • Experience working in conduct-related oversight role such as ethics, internal fraud, UDAAP, complaints management, or business specific experience handling processes with conduct related risks
  • 1+ years’ experience performing risk assessments

  • 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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