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Compliance Consultant 3: WIM Testing and Validation

Wells Fargo | Charlotte NC 28299 USA | Full Time | Posted: 10/11/2019

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.

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 Wealth Investment Management Testing & Validation (WIM T&V) team is looking for a Compliance Consultant 3 to support lines of businesses under WIM.  This position will support the WIM T&V team in control testing, validation reviews, and special projects.


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

  • 2+ 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
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field

Desired Qualifications

  • Intermediate 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

Other Desired Qualifications
  • Audit, Risk and/or Compliance testing operational and compliance controls, preferably in a large financial
  • Full testing lifecycle experience that includes assessing test scope, designing test scripts, as well as executing, documenting and reporting.
  • Experience providing “credible challenge” to business partners when necessary, with the ability to lead through influence.
  • Knowledge of ERISA and fiduciary regulations
  • Knowledge of securities industry and asset management principles 
  • Ability to multitask and prioritize in a high volume, high paced dynamic environment with minimal supervision
  • Build effective business partnerships and collaborate with all levels of team member
  • Excellent oral, written communication and presentation skills; able to communicate effectively with others
  • Excellent problem solving, analytical and decision making skills
  • Ability to identify issues, risk and escalate to the appropriate party
  • Strong work ethic and ability to work under tight timeframes
  • Capacity to learn new systems, applications and technologies quickly
  • Experience with SHRP, BIKE, and other operational risk applications
  • One or more of the following certifications is desired:
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Certified Financial Crimes Specialist (CFCS)
  • Certified Information Systems Auditor (CISA)
  • Certified Internal Auditor (CIA)
  • Certified Public Accountant (CPA)
  • Certified Regulatory Compliance Manager (CRCM)
  • Certified Risk and Compliance Management Professional (CRCMP)
  • Certified Risk Professional Program (CRP) For Testing and Validation

Salary Information

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

NC-Charlotte: Min: $62,100 Mid: $87,400
MN-Minneapolis: Min: $62,100 Mid: $87,400
MO-Saint Louis: Min: $62,100 Mid: $87,400
IA-Des Moines: Min: $62,100 Mid: $87,400
OR-Portland: Min: $62,100 Mid: $87,400
TX-DAL-North Dallas: Min: $62,100 Mid: $87,400
TX-San Antonio: Min: $62,100 Mid: $87,400


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 Charlotte, NC, 28299, United States
Categories Quality Assurance/Safety

Location Maptop

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Job Code 5496940-5

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