Compliance Officer; Conduct Risk Program Execution Team - Aggregated Reporting and Analysis

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 when 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.

The position will be responsible to develop and provide reporting for an aggregated,comprehensive independent view of the various conduct risk types, including trends, emerging risk, outcomes, and recommendations for front line and enterprise wide functions.

Additional responsibilities include :

Identify, develop, and execute on reporting needs. Partner with peer teams to develop and deliver on reporting to senior management, risk committees, and board reporting.

Review reporting and data to identify emerging risk, trends, areas needing focus, and direction of risk. Per form deep dives into data to identify concentration of risk, and work with peer team to understand root causes and next actions.

Recommend metrics or data sets to better monitor the various conduct risk types. Identify connection points in different data sets to connect lifecycle of sales practices misconduct and outcomes.

Use data to answer leader, board, and regulator inquiries on state and direction of the various conduct risk types.

Develop and contribute to reporting for management, senior management, compliance committee, and board. Contribute to regulator reporting.

Identify and use data to report on level of the various conduct risk types, identify metrics over time, and measure outcomes.

Understand the various conduct risk types processes and data sets within lines of business and enterprise functions.

Understand data and data collection processes and develop repeatable, sustainable processes for reporting. Develop documentation and provide evidence for judgements and risk decisions, and communicate with auditors and regulators to explain process.

Required Qualifications

7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

Desired Qualifications

Excellent verbal, written, and interpersonal communication skills

Good analytical skills with high attention to detail and accuracy

Ability to exercise independent judgment to identify and resolve problems

Advanced Microsoft Office skills

Ability to quickly establish credibility to build and maintain effective working relationships

Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members

Experience communicating and presenting complex information to multiple levels of the organization

Tableau experience

Experience using and adjusting model-based representations to collect, aggregate or disaggregate complex information within a business

Knowledge and understanding of metrics based analysis : reporting and trend analysis

Exposure to Wells Fargo s Shared Risk Platform (SHRP)

Operational risk, conduct risk or compliance domain experience

An active Certified Regulatory Compliance Manager (CRCM) designation

Certified Fraud Examiner (CFE)

Other Desired Qualifications

Ability to understand key concepts of conduct risk (sales practices, ethics, insider threat, and internal fraud) and how conduct risk is identified and mitigated within lines of business and enterprise functions;

ability to identify gaps, areas of improvement, and best practices

Working knowledge of ARCHER

Certificate in Operational Risk Management (ABA)

Certificate In Risk Management (CRMA)

Certified Risk And Compliance Management Professional (CRCMP)

Certified Compliance & Ethics Professional (CCEP)

Certified Risk Professional Program (CRP)