Compliance Consultant 4
Company: Wells Fargo
Posted on: March 12, 2018
The Corporate Staff Group Testing and Validation (CSG T&V) team within the Testing and Validation Center of Excellence (T&V COE) is responsible for planning and executing compliance testing for the CSG compliance programs in accordance with Regulatory Compliance and Risk Management policies and procedures and the newly published Operational Risk and Compliance Testing and Validation Standards. The COE T&V team is seeking candidates who will be responsible for the oversight and execution of Volcker Rule regulatory compliance reviews in various lines of business. Substantial experience in managing and leading compliance testing or auditing is required. Knowledge of the Volcker Rule is desired for this position, but not required, as training will be provided. Specific duties for this position include, but are not limited to:
- Plan and conduct compliance testing in the Volker Rule space.
- Provide oversight and direction, and maintain accountability for compliance reviews in the Volcker space.
- Act as a primary point of contact on Volcker with the T&V COE, regulatory proponents, enterprise risk leaders and line of business T&V testing groups.
- Exercise effective communications and promote positive client relations with business partners.
- Report and discuss findings and recommendations with COE T&V leadership, risk partners, and line of business management.
- Understand and effectively apply T&V COE testing standards.
- Keep abreast of regulatory changes and issues pertaining to Volcker compliance. *Open to any location in the Wells Fargo footprint
- 6+ 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 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both
- 3+ years of testing or quality assurance experience
- 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
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Experience creating, executing, and documenting compliance testing
- 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
- Knowledge and understanding of regulatory compliance requirements surrounding Volcker Rule Regulation
Other Desired Qualifications
- 2+ years of banking regulatory compliance testing or review experience, involving the Volcker Rule or otherwise in a wholesale banking (including corporate trust/fiduciary) or capital markets environment.-- Such experience must include substantial transactional testing.
- Prior experience in Compliance and knowledge of compliance applications.
- Experience managing a team responsible for creating, executing, and documenting compliance testing.
- Specialized knowledge of Reg W and/or Volcker regulations.
- 3+ years of conducting compliance testing or auditing of regulatory reporting requirements.
- Knowledge of Wells Fargo corporate compliance policies, procedures and standards.
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 4, Professions, Denver, Colorado
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