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Compliance Sr Assoc

Company: Wells Fargo Bank
Location: Avondale
Posted on: March 12, 2020

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. - In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.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. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the 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.Wells Fargo Compliance is the company's compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.Consumer Lending Compliance is responsible for development, implementation, and execution of the compliance strategy for Consumer Banking lines of business including: home lending originations and servicing, auto financing, personal lines and loans, student lending, and small business lending. The team provides compliance subject-matter expertise, advice, challenge and oversight of compliance risks, issues, and related processes for these business areas.The Compliance Sr Assoc is responsible for oversight within Wells Fargo Personal Lending Group (PLG) which includes Educational Financial Services (EFS), Personal Lines and Loans (PLL) and Small Business Lending (SBL), with an emphasis on Originations and Fulfillment activities.Primary Duties and Responsibilities will include:

  • Promote and advocate for a strong Compliance culture across the originations processes of the businesses we support, establishing Compliance priorities with senior management and communicating these priorities effectively.
  • Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function.
  • Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives, potentially spanning multiple business lines, to identify, assess and mitigate regulatory risk.
  • Maintain and foster strong relationships with business teams, Control partners, Compliance Governance partners, Legal and others to facilitate discussions and resolve issues.
  • Consults with business to develop corrective action plans and effectively manages change to ensure regulatory compliance.
  • Reports findings and recommendations to executive management or management committee member/head of business.
  • Review and challenge issue management and remediation activities
  • Provides compliance supports to strategic initiatives, including Business Process Mapping and associates risk and control reviews.

    Required Qualifications
    • 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management

      Other Desired Qualifications
      • Extensive banking compliance experience
      • Experience with the interpretation of laws, rulings and regulations impacting Consumer and Small Business lending (emphasis on originations activities)
      • Providing advice that protects the Bank's reputation and mitigates regulatory risk.
      • Ability to execute verbally, in written form, and display strong interpersonal communication skills with a wide variety of levels and communications styles.
      • Analytical minded thinking with high attention to detail and accuracy.
      • Ability to work independently, efficiently while maintaining quality and effectiveness in a fast-paced, changing environment.
      • Experience working with examiners and internal auditors
      • Experience with business process mapping and risk assessments for complex products and services
      • CRCM or other supporting compliance certifications, licenses, or degrees
      • Successful candidate will have demonstrated ability to apply critical thinking talents to make independent assessments, articulate recommendations and defend conclusions. Must be able to identify applicable regulations and work through specific requirements. The position requires the ability to be proactive; to communicate and escalate compliance issues or possible issues as appropriate; to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to issues; to combine pieces of information to form general rules or conclusions; and to consider the implications of all options (benefits, costs, and risk factors).

        Job Expectations
        • Ability to travel up to 10% of the time

          Street Address
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
          GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA
          NC-Charlotte: 301 S College St - Charlotte, NC
          NC-Charlotte: 301 S Tryon St - Charlotte, NC
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          NC-Charlotte: 550 S Tryon St - Charlotte, NC
          NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
          SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
          TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
          TX-Irving: 250 E John Carpenter Freeway - Irving, TX
          CO-Denver: 1700 Lincoln St - Denver, CO
          CO-Englewood: 9780 S Meridian Blvd - Englewood, CO
          IA-Des Moines: 800 Walnut St - Des Moines, IA
          IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
          AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
          AZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZ
          AZ-Chandler: 2600 S Price Rd - Chandler, AZ
          AZ-Tempe: 1150 W Washington St - Tempe, AZ
          OR-Portland: 1300 Sw 5th Ave - Portland, OR
          NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC
          UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT
          UT-Salt Lake City: 1255 E Brickyard Rd 1 Flr - Salt Lake City, UT
          UT-Salt Lake City: 260 Charles Lindbergh Dr - Salt Lake City, UT
          TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


          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 Bank, Avondale , Compliance Sr Assoc, Accounting, Auditing , Avondale, Arizona

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