Wells Fargo Compliance Consultant 4 in Charlotte, North Carolina

SLI Risk Management provides compliance and operational risk management support and oversight for Asset Backed Finance and the six lines of business within Specialized Lending and Investment: Community Lending & Investment, Commercial Mortgage Servicing, Corporate Trust Services, Real Estate Capital Markets; Wells Fargo Multi Family Capital, and Wells Fargo Equipment Finance.

Position will report to the SLI Central Compliance Manager and work across LOB stakeholder groups to ensure a systematic, disciplined, and consistent approach to the management of regulatory compliance. Stakeholder groups may include Lines of Business, Wells Fargo Audit Services, or Corporate / Wholesale Risk Functions. The manager will evaluate, quantify, and ensure that regulatory compliance is functioning appropriately and in accordance with LOB, Wholesale, and WFC requirements. This Team Member may also consult with business leaders on regulatory compliance issues and develop action plans and effectively manage change, report findings and develop business cases to influence management on the need for controls to mitigate risk.

Individual responsibilities will include:

  • Developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements and provide oversight to a compliance function.

  • Works 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.

  • Evaluate the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.

  • Identify and consult on training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery.

  • Gain fluency and understanding of key risk issues across SLI and ensure appropriate knowledge of applicability. Draw alignment across risk functions, business units, regions, and products to ensure comprehensive understanding of key risks.

  • Develop compliance metrics and efforts to evidence control performance and ongoing monitoring.

Lead reporting/communication efforts of project or periodic compliance performance reports for senior management, including trend analysis and recommended strategies.

Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

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

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANTNW/HRMS/c/HRSHRAM.HRSAPPSCHJOB.GBL?Page=HRSAPPJBPST&FOCUS=Applicant&SiteId=1&JobOpeningId=5286121&PostingSeq=1.

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.

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.