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compliance consultant

Company: Wells Fargo
Location: Denver
Posted on: January 14, 2018

Job Description:

Job Description



Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through our many locations, ATMs, the internet (wellsfargo.com) and mobile banking. To learn more, Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

It starts with you. Our goal is to attract, develop, retain and motivate the most talented people - those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.

At Wells Fargo, we invest in our people. Our diverse lines of business offer unique opportunities to expand your knowledge and advance your career.

Corporate Risk provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, this group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

The Consumer Lending, Payments, Virtual Solutions, and Innovations (CL/PVSI) Group Compliance Team is looking for a Compliance Consultant to join their Regulatory and High Risk Program Office (RHRPO). The position is responsible for oversight of the line of business (LOB) Global Tax Information Reporting (GTIR) programs across the CL/PVSI business areas that ensure regulatory requirements related to customer information tax onboarding, withholding, and reporting.

Key responsibilities include, but are not limited to:


  • Developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements
  • Working with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations
  • Consulting with business to develop corrective action plans and effectively manage change to ensure regulatory compliance
  • Identifying training opportunities and providing subject matter expertise to the design, coordination and development of the training materials and delivery methods
  • Coordinating production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies
  • Providing related risk subject matter expertise and credible challenge to business lines, which may involve managing corrective actions, driving regulatory change management processes, and developing training materials
  • Providing oversight to tax information compliance functions which includes:


    Relationship Management


    • Partnering with the Enterprise Risk Office and CL/PVSI (LOBs) to improve the risk management function related to customer information tax reporting and identify processes for standardization or centralization
    • Representative for CL/PVSI GCO in support of Enterprise responsibilities to establish and drive a GTIR governance program, including providing guidance on training and risk reporting


      Tax Issues Management


      • Oversee and manage Issue Escalation Process, including determination for SHRP entry, approval of remediation and corrective action documentation, and risk ratings
      • Serve as primary member/participant for Tax Governance Committees and Enterprise Oversight/Escalation Committees
      • Monitor and report tax issues documented within SHRP to ensure compliance with Issues Management Policy and related escalation protocols


        Communication Practices


        • Participate and leverage Community of Practice Forums
        • Own and lead communications regarding Tax Risk across CL/PVSI, including Tax Forums, Newsletters, etc.


          Location: Flexible within the Wells Fargo footprint

          Important 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


            • Ability to interact with all levels of an organization
            • Advanced Microsoft Office skills
            • Excellent verbal, written, and interpersonal communication skills
            • Strong analytical skills with high attention to detail and accuracy


              Other Desired Qualifications


              • Demonstrated strong verbal and written communication skills to connect complex issues, opportunities, and risks to non-tax experts in a clear and concise manner
              • At least 3+ years of demonstrated expertise in technical tax onboarding, withholding, reporting and required tax compliance
              • Professional credentials in the field of taxation and/or accounting (JD, LLM in Taxation, Masters in Taxation, CPA, etc.)
              • Experience influencing processes, policies and procedures consistent with corporate values and applicable laws
              • Ability to independently evaluate tax issues and apply sound business judgment with minimal oversight
              • Experience leading operations in a financial services environment including experience leading initiatives through process design / reengineering with quantifiable results
              • Strong influencing and negotiation skills
              • Ability to effectively communicate with all levels of the organization including senior / executive management. Must be able to take complicated subject matters and effectively present recommendation and options
              • Proven project management and coordination skill
              • Experience working with the Bank's compliance and operational policies and procedures, and with corporate Operational Risk Platform tools such as SHRP


                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.

                  Keywords: Wells Fargo, Denver, compliance consultant, Accounting, Auditing, Denver, Colorado

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