Compliance Manager 1

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  • 3+ years experience
    Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website.

    Market Job Description

    About Enterprise Global Services
    Enterprise Global Services (EGS) enables global talent capabilities for Wells Fargo Bank NA., by supporting over half of Wells Fargo’s business lines and staff functions across Technology, Business Services, Risk Services and Knowledge Services. EGS operates in Hyderabad, Bengaluru and Chennai in India and in Manila, Philippines. Learn more about EGS at our International Careers website.

    Department Overview

    Enterprise Testing

    Within Wells Fargo Compliance, this group provides an independent oversight function within the second line of defense, establishing and maintaining a consolidated Enterprise Testing function at the corporate level. They are responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews.

    About the Role
    Testing and validation teams throughout corporate risk will be responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

    Responsibilities

    • Managing and developing a team of consultants who conduct compliance and operational risk testing of functions and regulations within and across the regions. Reviews are moderate to large in terms of size and complexity.
    • Developing methods to review large populations of data for exceptions to regulations, policies and procedures.
    • Ensuring consultants develop appropriate scope of reviews, identify relevant risks and controls, design and execute proper control testing and accurately analyze and report results.
    • Demonstrating professional skepticism and credible challenge; presenting results of compliance reviews in an objective and unbiased manner. Writing opinions reflecting relevant facts that lead to logical conclusions.
    • Maintaining information on corporate operational risk systems and through periodic reporting that effectively reflects the current state of compliance.
    • Establishing and developing relationships with senior management. Communicating review exceptions/findings timely and effectively.
    • Developing relationships with Risk Partners, Regulators, WFAS, and Regional leaders in order to provide advice and guidance to the business lines.
    • Participating in other projects/activities to further the testing program.

    Market Skills and Certifications

    Essential Qualifications

    • University degree in Business or related discipline.
    • 10+ years in compliance, operational risk, business process management, or financial services, of which at least 6 years must include direct experience in compliance or 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).
    • 3 years direct experience in testing to evaluate the effectiveness of controls (may include audit, compliance, internal control, or other related testing).
    • Excellent oral, written communication and presentation skills; able to communicate effectively with both technical and business partners as well as executive management.
    • Ability to multitask and prioritize in a high volume, high paced dynamic environment
    • Strong Microsoft Office skills

    Desired Qualifications

    • Knowledge of foreign Banking and Securities regulations
    • Experience in developing, implementing and monitoring an operational risk or compliance program to assure compliance with legal and regulatory requirements and policy
    • Experience in Compliance or Operational Risk Management in Financial Services Industry
    • Ability to multitask and prioritize in a high volume, high paced dynamic environment
    • Advanced degree or certification (CPA, CIA, CRCM, or other)
    • Ability to build effective business partnerships and collaborate with all levels of team members
    • Excellent problem solving, analytical and decision making skills
    • Ability to identify issues, risk and escalate to the appropriate party
    • Strong work ethic and ability to work under tight timeframes
    • Capacity to learn new systems, applications and technologies quickly
    • Ability to effectively lead both in-person and remotely

    Leadership Expectations at Wells Fargo

    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.

    We Value Diversity

    At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.

    Market Skills and Certifications

    Essential Qualifications

    • University degree in Business or related discipline.
    • 10+ years in compliance, operational risk, business process management, or financial services, of which at least 6 years must include direct experience in compliance or 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).
    • 3 years direct experience in testing to evaluate the effectiveness of controls (may include audit, compliance, internal control, or other related testing).
    • Excellent oral, written communication and presentation skills; able to communicate effectively with both technical and business partners as well as executive management.
    • Ability to multitask and prioritize in a high volume, high paced dynamic environment
    • Strong Microsoft Office skills

    Desired Qualifications

    • Knowledge of foreign Banking and Securities regulations
    • Experience in developing, implementing and monitoring an operational risk or compliance program to assure compliance with legal and regulatory requirements and policy
    • Experience in Compliance or Operational Risk Management in Financial Services Industry
    • Ability to multitask and prioritize in a high volume, high paced dynamic environment
    • Advanced degree or certification (CPA, CIA, CRCM, or other)
    • Ability to build effective business partnerships and collaborate with all levels of team members
    • Excellent problem solving, analytical and decision making skills
    • Ability to identify issues, risk and escalate to the appropriate party
    • Strong work ethic and ability to work under tight timeframes
    • Capacity to learn new systems, applications and technologies quickly
    • Ability to effectively lead both in-person and remotely

    Leadership Expectations at Wells Fargo

    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.

    We Value Diversity

    At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.

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