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Compliance Consultant 4 - Marketing Compliance Oversight

Wells Fargo | Des Moines IA 50981 USA | Full Time | Posted: 08/20/2019

Job Descriptiontop

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.

  • Coordinate Third Party Risk Management Program compliance requirements with key stakeholders including review, analysis and approval of third party engagements 
  • Assist in Compliance Monitoring Program activities
  • Perform Model Risk compliance reviews
  • Review Regulatory Major Requirements and assist in the determination of applicability to the business
  • Review new Wells Fargo policies and changes to existing policies to determine applicability to the business 
  • Review legal regulatory alerts to determine applicability to the business 
  • Conduct promotional material reviews to ensure compliance risks are effectively mitigated.
  • Review and monitor Marketing issues and corrective actions through remediation and develop issues management reports and analysis
  • Coordinate compliance training needs for business supported 
  • Assist in completing risk assessments using compliance risk tools
  • Participate in cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans.
  • Collaborate effectively with business, corporate risk, and law department partners
  • Assist team members with ad hoc reporting and assignments


  • Excellent verbal, written, and interpersonal communication skills
  • Ability to think beyond the risks today and those related to immediate activities and to look at the risks associated with emerging technologies, capabilities and activities that could drive risks we have not managed previously
  • Ability to say “no” to a request tactfully while offering alternative options to get to “yes,” if appropriate
  • Ability to work effectively in a virtual team environment
  • Self-starter who can work independently and with minimal supervision
  • Demonstrated strong process management skills
  • Ability to focus on the details of an issue or task while keeping the big picture in mind
  • Adaptable to a dynamic and quickly changing, fast-paced work environment where priorities or focus may need to shift frequently
  • Demonstrated ability to prioritize multiple deliverables, multi-task and meet deadlines despite competing priorities

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
  • A BS/BA degree or higher

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 marketing in the financial services industry
  • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
  • Knowledge and understanding of banking: regulations, compliance, policies, process, and procedures
  • Ability to prepare presentations, management reporting, and statistical analysis

Other Desired Qualifications
  • Experience in multiple areas of Regulatory Compliance program implementation
  • Experience with Marketing in the financial services industry
  • Experience with policy review, analysis and implementation
  • Prior experience supporting Regulatory Compliance programs in a large financial institution


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.

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Location Des Moines, IA, 50981, United States
Categories Quality Assurance/Safety

Location Maptop

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Job Code 5503958-9

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