Job Details

Monitoring Quality Assurance and Oversight Program Management Leader - Regulatory Relations / Compliance Manager 5

Company name
Wells Fargo

Location
Charlotte, NC, United States

Employment Type
Full-Time

Industry
Compliance, Manager, Finance

Posted on
Feb 06,2019

Valid Through
May 22,2019

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Profile

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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Wells Fargo Regulatory Relations*

Wells Fargo Regulatory Relations (WFRR) at Wells Fargo oversees regulatory relations for Wells Fargo. It promotes a coordinated and cohesive approach to working with the regulators. WFRR leads the company’s efforts to have a sustained, proactive dialogue on risk management with all regulators. It is responsible for developing the strategy for regulatory engagement, overseeing regulatory interactions across the company, and ensuring enterprise-wide standards and consistency with regulatory interactions. WFRR is a new function reporting directly to the Chief Risk Officer of Wells Fargo.

Regulatory Relations - Monitoring, Quality Assurance and Oversight Program Management Leader* role

This role will report directly to the Head of Regulatory Integration and Oversight. This role will be responsible for designing and managing an enterprise program to monitor and oversee the adherence to the Regulatory Relations Policy and Procedures. This includes setting requirements for quality assurance and independent testing programs specific to Regulatory Relations both at the group and enterprise level.

This role will be visible, demanding, and rewarding, interacting regularly with senior leaders and key partners in WFRR, Corporate Risk, Control Executives teams, businesses and enterprise functions (including Enterprise Testing, WFAS and Legal) across Wells Fargo.

This role is an exciting opportunity to an individuals with the passion for and track-record in building and transforming businesses or functions. This role will have direct reports.

Core responsibilities:*

a. Design and manage enterprise monitoring, quality assurance and oversight programs to help ensure the company adherence to RR policy and procedures requirements, including identification of control points for processes etc.

b. Own monitoring, quality assurance and oversight requirements (as part of the RR policy and procedures)

c. Set standards for building and managing monitoring and quality assurance program at the group level

d. Provide consultation and expertise to:

• GRRs in building and executing their monitoring and quality assurance program

• WFRR and GRR teams in developing and implementing control points in enterprise RR processes

e. Partner with Compliance, WFAS, and Control Executive groups to develop Major Policy Requirements related to RR Policy (to be distributed to accountable groups)

f. Interface with testing groups (Enterprise Testing, WFAS) to provide input to their testing plan as related to the RR program

The Candidate:*

The successful candidate will:

• Leverage experience in developing and managing a risk program either at enterprise or group level, with focus on monitoring, QA and oversight processes

• Build successful and long-lasting relationships with senior management, business line and enterprise function leaders and other stakeholders

• Work collaboratively across Corporate Risk and other business lines and enterprise functions

• Inspire and motivate team members, internal and external constituencies, to a very high level of performance

• Drive decision making through building consensus

• Employ excellent written and verbal communication skills to present complex ideas in a straight-forward and direct manner

As a * Team Member Manager* , you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

• Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.

• Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

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 6 years must include direct experience in compliance, operational risk management, or a combination of both

7 years of management experience

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

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=HRSAPPJBPST_FL&FOCUS=Applicant&SiteId=1&JobOpeningId=5462028&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.

Company info

Wells Fargo
Website : https://www.wellsfargo.com/

Company Profile
Wells Fargo & Company provides retail, commercial, and corporate banking services to individuals, businesses, and institutions. The company’s Community Banking segment offers checking and market rate accounts, savings and time deposits, individual retirement accounts, and remittances; and lines of credit, auto floor plan lines, equity lines and loans, equipment and transportation loans, education and residential mortgage loans, and credit and debit cards. This segment also provides equipment leases, real estate and other commercial financing, small business administration financing, venture capital financing, cash management, payroll services, retirement plans, health savings accounts, and merchant payment processing and private label financing solutions, as well as purchases retail installment contracts. Its Wholesale Banking segment offers commercial loans and lines of credit, letters of credit, asset-based lending, equipment leasing, international trade facilities, trade financing, collection, foreign exchange, treasury management, investment management, institutional fixed-income sales, interest rate, commodity and equity risk management, insurance, corporate trust fiduciary and agency, and investment banking services, as well as online/electronic products. This segment also provides construction, and land acquisition and development loans; secured and unsecured lines of credit; interim financing arrangements; rehabilitation loans; affordable housing loans and letters of credit; loans for securitization; commercial real estate loan servicing; and real estate and mortgage brokerage services. The company’s Wealth, Brokerage, and Retirement segment offers financial advisory, wealth management, brokerage, retirement, trust, and reinsurance services. As of March 7, 2014, it operated through 9,000 locations and 12,000 ATMs, and offices in 36 countries, as well as through wellsfargo.com. The Company was founded in 1852 and is headquartered in San Francisco, California.

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