Job Details

Finance - General Attorney in Gastonia, NC

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Company name

Wells Fargo

Organization Type


Job Type


Practice Area

Finance - General

Years of Experience

Min 8 yrs required


Gastonia, NC

Date Last Verified

Jan 14,2018

Posted on

Jan 13,2018

12 hits


Compliance Manager 3 The candidate will be leading and managing a team of Compliance Consultants with expertise in third party regulatory requirements. Will be overseeing Compliance team assessment activities. Ensuring assessments meet or exceed established regulatory requirements and expectations across multiple regulators, including the Consumer Financial Protection Bureau, the Office of the Comptroller of the Currency, and the Federal Reserve. Identifying consumer financial law risks and Major Requirements (MRs) with third parties. Ensuring the accuracy and completeness of engagement records and all associated Major Requirements within the Shared Risk Platform (SHRP). Effectively partnering with LOB Engagement, Relationship, and Compliance Managers to assess risks within their respective third parties’ engagements. Maintaining an awareness of Third Party oversight regulatory requirements. Assuring Enterprise Third Party Risk Management program (TPRM) compliance with applicable regulatory and internal policy requirements. Appropriately identifying, escalating and addressing issues, when necessary. Providing guidance and credible challenge for assigned regulatory compliance risk management activities. Maintaining an understanding of MRs in light of changes in the internal and external regulatory environment, in consultation with the Law Department. Providing oversight and guidance for LOB third party regulatory compliance risk management activities by performing consistent, enterprise-wide third party assessments of the associated activities (e.g., risk assessment and analyses, policies, procedures, and training materials) of third party engagements. Using Corporate Risk tools and reporting to conduct risk assessments and analysis. Participating in or leading cross-business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Building strong partnerships and collaborating effectively with TPRM, Group Third Party Officers, Corporate Risk, Law Department, LOB partners and regulatory authorities. Proactively promoting an inclusive and collaborative work environment. Building and continuously enhancing team knowledge and understanding of regulatory requirements impacting third parties.

Qualification and Experience

The candidate should have 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. Advanced Microsoft Office skill is desired. Excellent verbal, written, and interpersonal communication skill is desirable. Experience working in a large enterprise environment is desirable. Expertise in consumer banking and Third Party oversight regulations is desirable. Expertise in working with banking regulators is desirable. 3+ years of management experience leading an effective team, with responsibility for coaching, motivating, and mentoring team members, team member training, and evaluating team member performance is desirable. Experience overseeing compliance programs is desirable. Experience leading cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans is desirable. Knowledge of Regulatory Risk and Compliance Policies and Programs is desirable. Previous regulatory or compliance experience in financial services is desirable. Experience in overseeing projects/workflow across multiple LOBs is desirable. Master’s or Law Degree is preferred.

Deadline: 22 January 2018.

Additional info

Job ID 5381624

Company info

Hiring Coordinator
Wells Fargo
609 Old New Hope Road
Suite 102
Gastonia, NC 28054-4825