Job Details

Compliance Consultant conflictconduct

Company name

Wells Fargo

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Aug 15,2018

Posted on

Aug 10,2018

Years of Experience

Min 10 yrs required

Location

Gastonia, NC
Practice Area
Finance >> Finance - General
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Compliance Consultant 5 (Conflict-Conduct) The candidate will leverage expertise of various conflict of interest, campaign finance, charitable foundation and procurement practice related laws, rules, regulations and agency guidance to drive compliance risk management processes as applicable across firm. Will be responsible for the maintenance and quality of an assigned regulatory portfolio of conflict of interest related authoritative sources in SHRP (firm’s risk platform and tool set) and may conduct periodic, enterprise wide community of practice sessions and drive compliance policy adherence. Activities include regulatory change management, policy and governance activities, risk assessment, development of major compliance requirements, identification of expected controls, and development of control review guidelines. Partner with testing and validation teams, the legal department and other risk areas to facilitate quality compliance risk management activities. Work with lines of business to influence development of relevant corrective action activities to improve control design and effectiveness.

Qualification and Experience

The candidate should have 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both. Advanced Microsoft Office skills is preferred. Excellent verbal, written, and interpersonal communication skills is desired. A BS/BA degree or higher is preferred. A Juris Doctor (JD) degree is desired. Experience with implementing and executing compliance programs to mitigate regulatory risk associated with conflicts of interest, campaign finance, charitable foundation functions, lobbying, and self-regulating organization rules and state “pay-to-play” laws is desired. Understanding of enterprise regulatory requirements and guidance applicable to systemically important financial institutions (SIFIs) is preferred. Experience communicating with financial services regulators and or internal audit is preferred. Proven experience in all aspects of executing a new policy, process and methodology or significant enhancement of same in a complex and dynamic environment is desired. Experience with conducting risk assessments, assessing the adequacy of policies, procedures, processes, and compliance and operational controls in a large and complex organization is preferred.



Deadline: 19 August, 2018

Additional info

Job ID 5425575

Company info

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

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