Compliance Consultant 4 - WFA Compliance Complaints Oversight Next in Missouri City, MO

$80K - $150K(Ladders Estimates)

Wells Fargo   •  

Missouri City, MO 64072

Industry: Finance & Insurance


5 - 7 years

Posted 61 days ago

This job is no longer available.

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 credibly 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.

Within Wells Fargo Advisors (WFA) Compliance, the Compliance Program Office Governance Team is responsible for the credible challenge, reporting and oversight of conduct-related activities within and associated to WFA. Oversight activities include, but are not limited to, the areas of: allegations, discipline, root cause, remediation and complaints. In addition, the team supports general quantitative reporting for WFA Compliance. The team is looking for a candidate who can demonstrate excellent communication skills, decision-making skills, and reporting skills to become part of a dynamic team.

This Compliance Consultant will support implementation and formalization of credible challenge and oversight activities associated with WFA Complaints. The role will participate in the development and ongoing engagement of the WFA Complaints process through the governance structure, credible challenge reviews, as well as collaboration with WFA Front Line and Enterprise Complaint teams. In addition, the Consultant may participate in other oversight responsibilities which reside in the Governance Team.

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
  • A BS/BA degree or higher

Other Desired Qualifications

  • Relevant experience in Brokerage or Financial Services industries
  • Relevant experience in or knowledge of Brokerage Complaint Requirements
  • Ability to identify issues and ask challenging questions to credibly challenge existing practices or protocols
  • Ability to develop and maintain effective relationships and collaborate within and across business lines at all levels of the organization.
  • Ability to influence stakeholders in a collaborative environment without direct organizational authority.

Valid Through: 2019-9-16

Wells Fargo job