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Compliance Consultant 3 - WIM Financial Crimes Testing and Validation Fort Mill, South Carolina; ...

Wells Fargo San Antonio, TX
  • Expired: November 02, 2019. Applications are no longer accepted.
Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.  In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.

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.

Testing and validation is a core component of risk management at the Company and is a critical step in the Company's risk management process.  Enterprise Testing reports directly to the Chief Compliance Officer and is responsible for performing independent, risk-based testing and issue validation activities for compliance and operational risk oversight, as well as issuing company-wide monitoring, testing, and assurance policies.

The Wealth and Investment Management (WIM) Testing & Validation (T&V) function performs regulatory compliance and operational risk testing and issue validation across all the WIM businesses, including Wells Fargo Advisors, The Private Bank, Abbot Downing, Wells Fargo Institutional Retirement and Trust, and Wells Fargo Asset Management.  The WIM Financial Crimes Testing Consultant will support the WIM Financial Crimes Testing Manager in performing risk-based compliance control testing to assure compliance with financial crimes-related regulatory requirements and corporate policies applicable to the Wealth and Investment Management businesses.  This includes areas such as Know Your Customer (KYC), suspicious activity reporting (SAR), sanctions and screening, etc.  These responsibilities will include independently executing audit-style engagements including thorough planning, the creation and execution of testing plans, the identification and escalation of issues in adherence with the Independent Monitoring, Testing, and Validation Policy, and will include usage of the Wells Fargo Shared Risk Platform (SHRP) system.  The Consultant will work with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives to identify, assess, and mitigate regulatory risk in business activities as well as providing recommendations to strengthen the business control environment.  The Consultant will report findings and draft recommendations to WIM business and risk management partners.

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
  • A BS/BA degree or higher in business, finance, or economics
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Knowledge and understanding of audit methodologies and tools that support audit processes

Other Desired Qualifications
  • 2+ years of experience creating, executing, and documenting audit or compliance testing engagements within the financial crimes/Anti-money laundering area
  • An active Certified Anti Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Chartered Financial Analyst (CFA) or Certified Public Accountant (CPA)
  • Exposure to compliance, regulatory processes, and control assessment in a financial services environment
  • Ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas

Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
NC-Charlotte: 401 S Tryon St - Charlotte, NC
SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC


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.

Wells Fargo


San Antonio, TX