Job Details

Compliance Consultant V

Company name

Wells Fargo

Organization Type

In-House

Job Type

Non-practicing Attorney

Date Last Verified

Mar 11,2019

Valid Through

Jun 24,2019

Posted on

Mar 08,2019

Years of Experience

Min 10 yrs required

Location

Fort Mill, SC, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Finance >> Finance - General
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Compliance Consultant V
The candidate will provide oversight, guidance, risk assessment and credible challenge for bank fiduciary and asset management associated regulatory sources which include the Investment Company Act of 1940, Investment Advisers Act of 1940, and Record keeping and Confirmation Requirements for Securities Transactions (12 CFR 12); Conduct compliance risk assessments and work in conjunction with the testing and monitoring teams to perform testing and monitoring in accordance with corporate policy, regulatory expectations and best practices; Analyze new products and business activities and prepare analyses for senior management; Possess and demonstrate compliance expertise at an enterprise level; Participate in or lead cross-business initiatives to ensure successful implementation of applicable regulatory changes and other required action plans; Build strong partnerships and collaborate effectively with line of business compliance groups, enterprise risk, Law Department partners and regulatory authorities; Assist team members with ad hoc assignments; As appropriate, assist with the management of regulatory examinations and inquiries, and internal audits of assigned activities; Assist with the development of training materials; Help ensure identified deficiencies are promptly addressed and resolved; Help ensure proper and effective communication is in place, and develop additional reporting as necessary.

Qualification and Experience

The candidate must 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 must have 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; Must have master’s Degree or Law Degree; Must have 10+ years of experience in audit, compliance and/or regulatory risk management; Must have advanced Microsoft Office skills; Must have excellent verbal, written, and interpersonal communication skills; Must have strong analytical skills with high attention to detail and accuracy; Must have ability to interact with all levels of an organization.

Close Date: 03/29/2019.

Additional info

Job ID: 5465913

Company info

Hiring Coordinator
Wells Fargo
403 TOM HALL ST,
Fort Mill, SC 29715

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