Compliance Manager 3 - Marketing Testing Manager in Concord, GA

$100K - $150K(Ladders Estimates)

Wells Fargo   •  

Concord, GA 30206

Industry: Finance & Insurance

  •  

8 - 10 years

Posted 61 days ago

This job is no longer available.

Job Description

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 Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing, and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

The Consumer Banking (CB) and Payments, Virtual Solutions and Innovation (PVSI) Enterprise Testing team is seeking a Compliance Manager 3 to develop and execute a control testing Plan for the Marketing business. This leader will manage a team responsible for executing all aspects of the Enterprise Testing methodology including: Plan and Prepare, Execute, Identify Issues and Corrective Actions, and Report and Escalate Results.

Specific Job Responsibilities include:

  • Lead a team that plans and executes control testing for Marketing. Accountable for conducting end-to-end business process walkthroughs, identifying risks and primary/key controls, evaluating control design, and testing the effectiveness of manual and automated controls.
  • Develop the team's schedule and manage engagements to planned dates, resources, and hours. Anticipate changes in the internal and external environment and adapt the testing program of the team accordingly.
  • Supervise the testing teams throughout the life cycle of the review activities to provide ongoing guidance on scope, sampling, testing approach, issues, work papers, quality reviews, etc.
  • Develop relationships with the business and implement an effective engagement model for the team and business. Partner with legal, compliance, and business partners to stay tuned with ongoing business process changes, customer feedback, etc.
  • Improve bench strength of the team. Develop subject matter expertise within the team of all the major products, services, and processes in the line of business, and develop a thorough understanding of the processes reviewed.
  • Elevate the team's quality of work performed. Review quality assurance feedback and take appropriate actions to address areas requiring attention.
  • Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency.
  • Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls.
  • Stay abreast of management's plans to address corrective actions.
  • Write reports that clearly articulate work performed, and summarize testing results to business leadership, executive management, and the board.
  • As needed, present work performed to audit, regulators, and other business partners.

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members with stretch assignments, identifying and managing risks, and completing daily management tasks.

Preferred Locations are listed below; however the position is open to other locations within the Wells Fargo footprint.

  • 600 S 4th St, Minneapolis, MN
  • 1 N Jefferson Ave, Saint Louis, MO
  • 666 Walnut St, Des Moines, IA
  • 401 S Tryon St, Charlotte, NC
  • 1300 SW 5Th Ave, Portland, OR
  • 14241 Dallas Parkway, Dallas, TX
  • 4811 N 4th Ave, Sioux Falls, SD
  • 4101 Wiseman Blvd, Bldg 203, San Antonio, TX

**Please Note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

Required Qualifications


  • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience

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 articulate complex concepts in a clear manner.

Other Desired Qualifications

  • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
  • 6+ years of marketing experience
  • Demonstrated ability to drive change in an environment that is highly dynamic and complex
  • Control testing experience, preferably within Marketing
  • Experience in Audit, Compliance, Risk, and Testing

Job Expectations


  • Ability to travel up to 20% of the time.


Valid Through: 2019-9-16