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Compliance Consultant 4 - Regulatory Impact Group

Company: Wells Fargo Bank
Location: Columbia
Posted on: December 5, 2019

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 prior to 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.Within Wells Fargo Advisors (WFA) Compliance, the Regulatory Impact Group provides compliance advice and support to regulatory projects implemented by the WFA line of business. In order to support projects, the team regularly advises project participants on regulatory requirements, researches and resolves open compliance issues, and collaborates with other compliance and legal partners in the line of business.The Regulatory Impact Group is seeking a Compliance Consultant 4 (CC4) to provide subject matter expertise and compliance support to internal business partners and key technology providers. The CC4 will lead the regulatory impact assessments of existing brokerage applications and change requests to ensure solutions or modifications align with compliance requirements. A qualified candidate will be someone who has demonstrated compliance subject matter expertise and the ability to collaborate with technology providers. An individual who is interested in the correlation between technology and the regulatory environment will find this opportunity both exciting and challenging. --The CC4 is responsible for:

  • Monitoring risk-based compliance programs, specifically related to technology, to assure compliance with federal, state, agency, legal and regulatory requirements;
  • Providing compliance risk expertise and consulting for projects and initiatives;
  • Developing and conducting impact assessments to mitigate regulatory risk;
  • Assessing Technology Changes for Regulatory implications and/or concerns;
  • Responsible for maintaining the integrity of the mapping of regulations to brokerage applications;
  • Managing and/or coordinating production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies;
  • Reporting findings and recommendations to senior management; and,
  • Coordinating work across multiple channels in WFA, as well as multiple teams across the enterprise. --

    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
      • Knowledge and understanding of financial industry applications, calculations, and terms
      • FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 24, FINRA Series 14, or FINRA recognized equivalents

        Other Desired Qualifications
        • Strong brokerage knowledge, including knowledge of BETA
        • Highly results driven with proven project management skills
        • Strong analytical and critical thinking skills, as well as an understanding of IT principles and concepts
        • Ability to effectively manage multiple projects and assignments, ensuring alignment with shifting priorities
        • Relationship management experience with business and technology partners



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

          MO-Saint Louis: Min: $80,500 Mid: $115,000
          MN-Minneapolis: Min: $80,500 Mid: $115,000


          Street Address
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN


          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, Columbia , Compliance Consultant 4 - Regulatory Impact Group, Other , Columbia, Missouri

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