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Compliance Sr Associate (Governance Risk & Compliance Controls Team)
Company: Wells Fargo
Location: Irving, TX
Employment Type: Full Time
Date Posted: 06/24/2021
Expire Date: 07/29/2021
Job Categories: Accounting/Auditing, Banking, Finance/Economics, Financial Services, Information Technology, Insurance, Law Enforcement, and Security, Military, Quality Control, Research & Development
Job Description
Compliance Sr Associate (Governance Risk & Compliance Controls Team)
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.

This Compliance Sr Associate will (1) assist with the build-out of a regulatory monitoring program,  performing initial impact assessments and/or assessing the applicability of regulatory changes affecting the CIB compliance program; (2) assist with the implementation of new laws, regulations, policies, Corporate requirements, and new products (including the effective transition to the new RCSA platform for Risk Identification and Assessment and oversight of SHRP DQ initiative); (3) facilitate the determination in close coordination with Business Unit Compliance Officers (BUCOs) relative to the applicability of regulations and laws and/or policies to their respective coverage area(s); (4) facilitate in close coordination with the BUCOs the applicability, design, documentation, and overall effectiveness of front line controls intended to mitigate risk of certain laws, regulations, and/or policies; (5) facilitate the identification of monitoring controls in close coordination with BUCOs in an effort to construct a comprehensive compliance monitoring program pursuant to corporate policy; (6) assist with maintaining the Wells Fargo enterprise risk management systems of record on behalf of the CIB compliance program, in conjunction with input from BUCOs, Control Executives, Regulatory Proponents, and other support partners relative to the data points reported in those systems.  This role is a priority because it is integral to the corporate Risk Transformation.

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

  • Brokerage operations control or risk experience
  • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations
  • Ability to identify risk factors and ensure enactment of appropriate controls
  • Ability to identify risks and propose mitigation plans
  • Ability to influence and collaborate at all internal organizational levels
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Advanced Microsoft Office (Word, Excel, Outlook, PowerPoint, Access, and Project) skills
  • Excellent verbal, written, and interpersonal communication skills
  • Knowledge and understanding of risk assessments documentation development
  • Strong research and documentation skills
  • Experience with Wells Fargo risk systems such as Shared Risk Platform (SHRP), Risk and Control Self-Assessment (RCSA), or Control Risk Analysis System (CRAS+)
  • Experience leading efforts with multiple stakeholder groups

Other Desired Qualifications
  • At least two years of relevant capital markets experience
  • Knowledge of securities and banking regulations relating to capital markets activities

Street Address

NC-Charlotte: 550 S Tryon St - Charlotte, NC
NC-Charlotte: 401 S Tryon St - Charlotte, NC
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
TX-Irving: 250 E John Carpenter Freeway - Irving, TX
NY-New York: 150 E 42nd St - New York, NY


    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


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

Contact Information
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