Wells Fargo Compliance Consultant 5 - Compliance Training Oversight in Des Moines, Iowa

Regulatory Compliance Risk Management (RCRM), Wells Fargo’s regulatory compliance second line of defense function, provides company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet regulatory compliance responsibilities, and manage regulatory compliance risks. RCRM credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for regulatory compliance risk management activities across the enterprise.

  • Job Description*: The Compliance Consultant 5 position will be part of RCRM's Policy and Training Oversight and Governance team (PTOG), within RCRM’s Chief Operating Office. PTOG leads the implementation, execution, and enhancement of the policy and training components of Wells Fargo’s regulatory compliance program.

This position will develop and maintain an enterprise wide compliance training framework to oversee regulatory compliance training and reinforce a risk-aware, compliant culture. As the primary training point of contact for RCRM, this position will work closely with Wells Fargo’s Learning and Development and Enterprise Risk Learning Teams to identify, develop, implement and track compliance training to ensure adherence to the law and the company’s ethical standards, and in doing so help set the tone for the compliance training program throughout the company.

  • Specific duties for this position include, but are not limited to*:

  • Develop enterprise-wide compliance training standards and minimum requirements.

  • Enhance and oversee the annual process of assessing training needs across business groups and the enterprise based on inherent risk.

  • Develop annual compliance training and awareness plans to select appropriate compliance training courses and awareness activities across business groups and the enterprise

  • Overseeing compliance training and awareness for team members in compliance roles, including continuing education requirements and Certified Regulatory Compliance Manager certification.

  • Institute specific metrics and measurements to assess the success of training activities.

  • Assure adequate implementation of compliance training activities, and escalate overdue trainings or other potential training-related issues.

  • Provide consistent, reliable and accurate reporting on the state of compliance training activities for the Chief Compliance Officer, senior compliance staff, business and corporate staff leaders, relevant risk committees and the board.

  • Support the Regulatory Compliance Training and Awareness Community of Practice, sharing training and awareness related topics and best practices with key stakeholders.

  • Respond to regulatory or audit inquires or findings regarding compliance training and develop and implement action plans to correct identified compliance training deficiencies.

New York City is the preferred location.

Required Qualifications:

  • 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

Desired Qualifications:

  • Advanced 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

  • Experience working in a large enterprise environment

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANTNW/HRMS/c/HRSHRAM.HRSAPPSCHJOB.GBL?Page=HRSAPPJBPST&FOCUS=Applicant&SiteId=1&JobOpeningId=5369880&PostingSeq=1.

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.

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.