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Compliance Officer - Conduct Risk Oversight Wholesale Team

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.Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company's values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line's adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.This position will be part of the Conduct Risk Oversight Wholesale team. Job responsibilities will include developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight.

Required Qualifications

  • 7+ 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 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

    Desired Qualifications
    • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function
    • Knowledge and understanding of risk management, in financial services
    • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
    • Strong analytical skills with high attention to detail and accuracy
    • Strong project management skills
    • Advanced Microsoft Office skills
    • Excellent verbal, written, and interpersonal communication skills
    • Ability to identify risk factors and ensure enactment of appropriate controls
    • Experience communicating and presenting complex information to multiple levels of the organization
    • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • Leadership experience
    • A BS/BA degree or higher

      Other Desired Qualifications
      • Experience within or supporting the Wholesale Bank which includes one of the following business lines: Financial Institutions Group, Securities, Corporate Banking, Commercial Real Estate, Investment Portfolio, Commercial Capital, Business Banking, Government & Institutional Bank, and/or Middle Marketing Banking -
      • Experience with Commercial/Wholesale Banking and/or FINRA regulations -
      • Highly motivated self-starter able to be successful in a working environment that requires flexibility and independence with ambiguous situations and constant change to achieve desired outcome/objectives
      • Experience with regulatory engagements and presentations
      • Demonstrated strategic/business consulting experience
      • Knowledge of Wells Fargo risk management practices over multiple lines of business and/or the second line of defense.
      • Ability to understand processes end to end and make value-added recommendations to improve design and control structure. -
      • Demonstrated ability to evaluate complex programs and initiatives and provide credible challenge to opportunities and concerns
      • Demonstrated experience with issue resolution including root cause analysis, mitigation plans and remediation activities
      • Experience working within a highly complex, cross functional matrixed organization of large scale
      • Effective leadership skills and the ability to exercise credible challenge in a collaborative manner and help the Wholesale Banking lines of business achieve a desired future state.
      • Ability to work in a dynamic work environment with multiple priorities and strict timelines and able to organize and prioritize work for responsiveness, efficiency and on-time delivery



        Street Address
        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
        GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
        GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA
        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
        MN-Minneapolis: 600 S 4th St - Minneapolis, MN
        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


        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 Bank, Avondale , Compliance Officer - Conduct Risk Oversight Wholesale Team, Other , Avondale, Arizona

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