Compliance Associate; Conduct Risk Governance

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.Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company’s values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line’s adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints. This position is part of the Conduct Risk Governance team.We have an exciting opportunity for a Compliance Associate to join the Conduct Risk, Policy and Governance team. This team works across Conduct Risk and plays an integral role in conduct related monitoring governance and linkage with Enterprise Testing results for conduct risk owned policies and conduct risk indirect policies and regulatory requirements.The person selected for this role will be responsible for assisting with the establishment and assuring execution of operational risk ,validation and monitoring programs. Maintains an awareness of the state of operational/compliance risk across the enterprise and provides subject matter expertise; ensures that all conduct related business issues are pro actively identified and addressed appropriately, escalating where necessary; maintains collaborative relationships across the front line assurance efforts, Independent Risk Management (IRM), and Conduct Risk oversight groups.Primary Responsibilities include:

Partnering with Enterprise Testing & Validation on Conduct Risk and Complaints related testing including determining testing scope and design as well as test script development (Gifts and Entertainment, Code of Ethics, Conflict of Interest, Allegation Management, Customer Harm, Sales Practices, Insider Threat, Business and Personal Activities, Internal Fraud, Complaints Management)

Evaluation of business process and controls in partnership with Conduct Risk policy owners and Conduct Risk oversight for conduct related policies

Supporting the development and execution of the annual testing plan (schedule and scope), leveraging results of the Conduct Risk risk assessment and ensuring timely completion of testing plan in accordance with Enterprise standards

Assisting in the aggregation of results and report development in conjunction with Enterprise Testing

Provide oversight, monitoring, and credible challenge of control environment in partnership with policy owners and Conduct Risk Oversight teams

Support of regulatory and audit examinations as needed

Review and escalation of issues, as needed

Required Qualifications:

2+ years of experience in risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management demonstrated through work or military) or 1+ year in the foregoing or financial services industry and a BS/BA degree or higher in business or a related field

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 articulate complex concepts in a clear manner

Financial services experience

Strong collaboration and partnering skills

Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Experience driving and leading organizational change in a dynamic environment

Ability to work across multiple lines of business leading large scale initiatives

Experience with risk assessment methodology

Ability to travel up to 5% of the time

Job Expectations:

Ability to travel up to 5% of the time

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psc/PSEA/APPLICANTNW/HRMS/c/HRSHRAMFL.HRSCGSEARCHFL.GBL?Page=HRSAPPJBPSTFL&FOCUS=Applicant&SiteId=1&JobOpeningId=5528992&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.