$80K - $150K(Ladders Estimates)
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.
Valid Through: 2019-9-16