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Compliance Senior Associate

Wells Fargo

This is a Full-time position in Irving, TX posted May 15, 2021.

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

As the company’s second line of defense, Corporate Risk — or Independent Risk Management — provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo’s risk management program and provides oversight, including challenges to and independent assessment of, the frontline’s execution of its risk management responsibilities. We manage risk according to the Risk Management Framework and ensure all employees understand their individual accountability for managing risk.

Wells Fargo Compliance is the company’s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations, and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance 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 compliance risk management activities across the enterprise.

Consumer & Small Business Banking (CSBB) Compliance institutes the development, implementation, and execution of the compliance strategy for CSBB through its support of the consumer and small business banking teams. CSBB Compliance provides independent oversight and support to CSBB lines of business including Branch Banking, Deposits, Small Business, Chief Customer Office, Strategy & Transformation, Marketing, and Operations.

“We currently have an opportunity within CSBB Compliance to join the Regulatory Change Management (RCM) Team. This team supports the CSBB businesses in identifying, monitoring and tracking the analysis and implementation of federal, state, agency, legal and regulatory law changes to ensure compliance with applicable requirements.  The team works in collaboration with the WF Legal Department, WF Government Relations Directors and CSBB Control teams to keep the lines of business informed of pending changes to allow ample lead time to implement requirements and to identify opportunities to amend proposed bill/regulation language prior to enactment/adoption.    Specific duties for these positions include, but not limited to:

  • Conducting comprehensive analysis of law changes in determining applicability and next steps in partnership with Legal, front line control teams and businesses.
  • Provide subject matter expertise, advice, credible challenge and oversight of compliance matters to ensure compliance.
  • Ensure consistent implementation and execution of regulatory law changes wherever possible.
  • Facilitate legislative review and feedback gathering as well as implementation activities
  • Keep abreast of consumer laws applicable to CSBB
  • Support the timely closure of required action plans and ensure timely escalations of issues as needed.
  • Develop and maintain effective relationships within the front-line control executive teams and independent risk management partners

Required Qualifications

  • 5+ 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 Qualifications

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • A BS/BA degree or higher
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Strong project management skills including the ability to handle multiple projects concurrently
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Strong organizational, multi-tasking, and prioritizing skills
  • Quality control review experience

Other Desired Qualifications

  • Strong understanding of CSBB (Consumer & Small Business Banking) business processes, risk and control requirements
  • Ability to articulate complex changes, issues, risks, and proposed solutions to various levels of staff and management in a clear concise manner.
  • Knowledge and understanding of financial services industry and the ability to research legal commentary and state/federal codes.
  • Demonstrated knowledge of risk-based regulatory compliance including the industry and laws and regulations that apply to areas of responsibility
  • Ability to serve as regulatory compliance advisor to business management
  • Ability to identify issues, risk and escalate to the appropriate party
  • Independent thinker with proven ability and experience in being able to look at the big picture across a risk program and implement successful strategy and solutions
  • Ability to take initiative and work independently with minimal supervision in a structured environment
  • 2 + years of business experience in the financial services industry

Job Expectations

  • Ability to travel up to 5% of the time

Street Address

NC-Charlotte: 1525 W Wt Harris Blvd – Charlotte, NC
NC-Charlotte: 128 South Tryon Street – Charlotte, NC
SC-Fort Mill: 3480 State View Blvd – Fort Mill, SC
TX-DAL-Downtown Dallas: 1445 Ross Ave – Dallas, TX
TX-Irving: 250 E John Carpenter Freeway – Irving, TX
TX-Plano: 4975 Preston Park Blvd – Plano, TX
IA-Des Moines: 206 8th St – DES MOINES, IA
IA-West Des Moines: 7001 Westown Pkwy – West Des Moines, IA
MN-Minneapolis: 600 S 4th St – Minneapolis, MN
MN-Minneapolis: 2650 Wells Fargo Way – Minneapolis, MN
MN-Saint Louis Park: 435 Ford Rd – Saint Louis Park, MN
AZ-PHX-Central Phoenix: 100 W Washington St – Phoenix, AZ
AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln – Phoenix, AZ
AZ-Chandler: 2700 S Price Rd – Chandler, AZ
MO-Saint Louis: 1 N Jefferson Ave – Saint Louis, MO
NC-Charlotte: 401 S Tryon St – Charlotte, NC

Disclaimer

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.

Benefits Summary

Benefits
 

Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.

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