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Attorney in Scottsdale, AZ

Wells Fargo Oct 07,2015 Oct 06,2015 Location USA Scottsdale AZ
This job is expired...

In-House

Attorney

Litigation - Whistleblower - CFTC

Other

Min 6 yrs required

Profile

Compliance Consultant IV The candidate will plan and perform compliance validation activities that independently evaluate the adequacy, comprehensiveness and effectiveness of corrective actions taken by Consumer businesses to remediate critical regulatory issues. Will identify deficiencies and recommend solutions to complex issues. Work with the Consumer businesses' compliance risk management teams to agree on corrective actions to develop comprehensive and effective corrective action plans and strengthen both preventive and detective internal controls. Ensure identified deficiencies are promptly addressed and effectively resolved. Write reports or presentations that clearly articulate the results/conclusions of compliance validation activities and communicate to key stakeholders across the company. Lead or assist in investigating and reporting issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing personnel, as appropriate. Assist on compliance projects. Work collaboratively with internal and external stakeholders. Maintain an understanding of the RCRM Framework and the interconnectivity of its key components. Maintain an understanding of business operations and regulatory guidance/expectations. Anticipate changes in the internal and external environment and adapt the testing program accordingly. Provide compliance support and guidance during risk assessment processes and state of compliance reporting. Present results to the Compliance Monitoring and Testing Director and other senior executives. As appropriate, assist with the management of regulatory examinations and internal audits of assigned activities. As appropriate, respond to regulatory inquiries. As appropriate, assist with the development of training materials. Work collaboratively across groups/LOBs and with other risk management teams. Work with senior management, Law Department and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. Ensure proper and effective communication (including developing reporting) is in place. Develop effective working relationships will team members while distinguishing self as a leader.

Qualification and Experience

The candidate should have CRCM certification. Bachelor's, Master's, or Law degree would be preferred. Must have 6+ years of experience in compliance, operational risk, IT systems security, business process management, or financial services, with 3+ years of direct experience in compliance or 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). Should also have 6+ years of experience in audit, legal, operational risk management, consulting and/or compliance, with a subset of that time having specific responsibility to develop or independently validate corrective action/remediation plans for critical regulatory compliance issues. Must have 2+ years of retail/consumer banking experience and 2+ years of leadership experience in the consumer compliance/risk environment. Should have experience in multiple areas of regulatory compliance risk and risks related to the consumer protection and general banking regulations of the OCC, FRB, CFPB and other federal, state and local regulations and laws. Experience with projects/work flow across a global institution is preferred. Experience with a global financial institution or Big 4 accounting firm is desired.

Application Deadline: October 12, 2015.

Additional info

Job ID: 5149468

Company info