Compliance Sr. Associate - Enterprise Functions Conduct Risk Oversight

Job DescriptionImportant 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.Compliance 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 Compliance Senior Associate - Enterprise Functions role directly supports the Conduct Risk Oversight Group within Conduct Risk. The position provides oversight for Wells Fargo's Conduct Management and is responsible for monitoring and oversight to identify, assess and mitigate conduct risks. The Compliance Senior Associate is responsible for providing appropriate guidance, oversight and challenge as a conduct risk expert.Specific Responsibilities:Provides oversight of Conduct Management with respect to execution effectiveness of conduct policies, monitoring and self-assurance activities, including escalation of risks and issues.

Performs and documents oversight activities in accordance with Conduct Risk Oversight procedures with a large focus on allegations.

Provides challenge, independent assessment, and advice with respect to Conduct Management controls, as well as actions to address gaps in control design and effectiveness.

Provides consultation and guidance to Conduct Management to support self-identification, assessment, escalation or monitoring of risks and issues.

Monitors enterprise and business group reporting for trends and points of escalation related to conduct risk for Conduct Management processes (i.e. allegations, insider threat, etc.)

Builds and develops strong engagement with key stakeholders including Conduct Management, Control Executive and Internal Audit teams to provide regular updates on status of conduct risk oversight and initiatives.

Conducts and assists with ad hoc projects of key processes/programs as part of oversight responsibilities for Conduct Management.

Due to high volumes, this position may close to applicants earlier than anticipated.Required Qualifications5+ 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 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management

Desired QualificationsA BS/BA degree or higher

Financial services industry experience

Ability to articulate complex concepts in a clear manner

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

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

Advanced Microsoft Office skills

Excellent verbal, written, and interpersonal communication skills

Good analytical skills with high attention to detail and accuracy

Strong collaboration and partnering skills

Experience driving and leading organizational change in a dynamic environment

Experience communicating in both written and verbal formats with senior executive-level leaders

Exposure to Wells Fargo s Shared Risk Platform (SHRP)

Other Desired QualificationsAbility to understand key concepts of conduct risk (allegations, 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.

Experience working in ARCHER

Certified Risk Compliance Manager (CRCM)

Certified Fraud Examiner (CFE)

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)

Six Sigma Certification

Project Management Professional (PMP)

Job ExpectationsWillingness to work on-site at stated location on the job opening

Ability to travel up to 10% of the time

Street AddressNC-Charlotte: 401 S Tryon St - Charlotte, NCTX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TXTX-Irving: 250 E John Carpenter Freeway - Irving, TXTX-Plano: 4975 Preston Park Blvd - Plano, TXIA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IAIA-Des Moines: 206 8th St - DES MOINES, IAMN-Minneapolis: 600 S 4th St - Minneapolis, MNMN-Minneapolis: 2650 Wells Fargo Way - Minneapolis, MNMN-Saint Louis Park: 435 Ford Rd - Saint Louis Park, MNNY-New York: 150 E 42nd St - New York, NYNJ-Summit: 190 River Rd - Summit, NJAZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZAZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln - Phoenix, AZAZ-Chandler: 2700 S Price Rd - Chandler, AZMO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MODisclaimerAll 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.Company: Wells FargoReq Number: 5557099-11Updated: 2020-11-23 22:18:42.007 UTCLocation: Dallas,TX