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Compliance Consultant 4 - Business Process Control Testing

Company: Wells Fargo
Location: Raleigh
Posted on: May 19, 2019

Job Description:

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.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.The Consumer Banking (CB) and Payments, Virtual Solutions and Innovation (PVSI) Enterprise Testing team is seeking eight Compliance Consultant 4's to execute the Business Process Testing (BPT) plan for all of CB and PVSI. These team members will primarily serve in a review lead capacity for BPT reviews but may also execute in a tester capacity. Execution of all aspects of the Enterprise Testing methodology including: Plan and Prepare, Execute, Identify Issues and Corrective Actions, and Report and Escalate Results will be expected.Specific Job Responsibilities include:

  • Execute end-to-end business process walkthroughs, identifying risks and primary/key controls, evaluating control design, and testing the effectiveness of manual and automated controls.
  • Manage engagements to planned dates, resources, and hours.
  • Execute throughout the life cycle of the review activities to ensure the adequacy/accuracy of scope, sampling, testing approach, issues, work papers, quality reviews, etc.
  • Develop subject matter expertise and a thorough understanding of the processes reviewed.
  • Receive quality assurance feedback positively and take appropriate actions to address areas requiring attention.
  • Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency.
  • Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls.
  • Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the board.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.This role may sit at any location within the Wells Fargo Corporate Risk Footprint

    Required Qualifications
    • 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

      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

        Other Desired Qualifications
        • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
        • Working experience in a financial institution within a consumer related line of business, excluding wealth management; preferably in a testing, audit or compliance role.
        • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
        • Ability to take initiative and work independently with minimal supervision in a structured environment
        • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
        • 4 + years in Audit, Risk and/or Compliance testing operational and compliance controls, preferably within a large financial institution.
        • Compliance or Audit related certification or designation such as CIA, CRCM, or CPA
        • Experience with Wells Fargo internal risk systems such as, but not limited to: SHRP and ORIS
        • Strong analytical skills with high attention to detail and accuracy
        • Experience with tracking and monitoring corrective actions, audits or exams
        • Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence.
        • Full testing life cycle experience that includes assessing test scope, designing test scripts, as well as executing, documenting and reporting.
        • Experience leading regulatory compliance reviews, preferably of large scope, while leading other testers and resources.
        • For Testing and Validation Positions Only:
          • One or more of the following certifications is desired:
          • Certified Anti-Money Laundering Specialist (CAMS)
          • Certified Financial Crimes Specialist (CFCS)
          • Certified Information Systems Auditor (CISA)
          • Certified Internal Auditor (CIA)
          • Certified Public Accountant (CPA)
          • Certified Regulatory Compliance Manager (CRCM)
          • Certified Risk And Compliance Management Professional (CRCMP)
          • Certified Risk Professional Program (CRP)

            Salary Information
            The salary range displayed below is based on a Full-time 40 hour a week schedule.

            IA-Des Moines: Min: $80,500 Mid: $115,000
            SD-Sioux Falls: Min: $72,500 Mid: $103,500
            CO-Denver: Min: $80,500 Mid: $115,000
            AZ-PHX-Central Phoenix: Min: $80,500 Mid: $115,000
            CA-SF-Financial District: Min: $96,600 Mid: $138,000
            NY-New York: Min: $96,600 Mid: $138,000
            MN-Minneapolis: Min: $80,500 Mid: $115,000
            UT-Salt Lake City: Min: $80,500 Mid: $115,000
            NC-Charlotte: Min: $80,500 Mid: $115,000
            TX-San Antonio: Min: $80,500 Mid: $115,000
            NC-Raleigh: Min: $80,500 Mid: $115,000
            MO-Saint Louis: Min: $80,500 Mid: $115,000


            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, Raleigh , Compliance Consultant 4 - Business Process Control Testing, Accounting, Auditing , Raleigh, North Carolina

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