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Compliance Manager 2 - Home Lending Testing and Validation

Company: Wells Fargo
Location: San Antonio
Posted on: June 15, 2019

Job Description:

Job Description
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.Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group- specific testing.Enterprise Testing - Home Lending Testing and Validation Compliance Manager - This position is responsible for leading a team of risk professionals who complete Compliance and Business Process Risk Management control testing across Home Lending Servicing and Capital Markets business channels.Specific Job Responsibilities:

  • Manage a team of compliance testing professionals and provide oversight and direction to execute an effective and efficient compliance testing program in the Home Lending space
  • Act as a primary point of contact within the Enterprise Testing - Home Lending Testing and Validation Team for regulatory proponents, enterprise risk leaders, audit and exam teams, and Front Line groups
  • Exercise effective communication and promote positive client relations with business partners
  • Report and discuss findings and recommendations with T&V Leadership, risk partners and Front Line management
  • Understand and effectively apply corporate testing and validation standards and policy requirements
  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning compliance functions reviewed
  • Identify, recommend solutions to, and ensure deficiencies are addressed and resolved
  • Work with the businesses compliance risk management teams to develop comprehensive and effective corrective action plans and strengthen both preventive and detective internal controls
  • Lead or assist in investigating and reporting issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing personnel, as appropriate
  • Provide compliance support and guidance during risk assessment processes and state of compliance reportingAs 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 tasksFor Testing and Validation Positions Only:One or more of the following certifications is desired:
      • Certified Anti-Money Laundering Specialist (CAMS)
      • Certified Financial Crimes Specialist (CFCS)
      • Certified Information Systems Auditor (CISA)
      • Certified Internal Auditor (CIA)
      • Certified Public Accountant (CPA)
      • Certified Regulatory Compliance Manager (CRCM)
      • Certified Risk and Compliance Management Professional (CRCMP)
      • Certified Risk Professional Program (CRP) For Testing and Validation Positions OnlyPlease Note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo

        Required Qualifications
        • 6+ 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 6+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
        • 2+ years of management experience, or 3+ years of leadership 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

            Other Desired Qualifications
            • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
            • Experience in Audit, Compliance, Risk and/or Testing
            • Direct control testing experience and/or experience consulting, or creating business risk controls preferably with in a financial institution
            • 2+ years of testing, audit, operational risk consultation preferably within Mortgage and/or Home Equity
            • Mortgage or Home Equity Line of business experience
            • End to end /full cycle testing experience that includes planning and assessing the review scope, creating the test script, execution, documentation and reporting
            • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
            • Outstanding problem solving and decision making skills
            • Critical Thinking and Analytical skills
            • CAR/BPRM preparation, Issue Validation & Corrective Action activities experience
            • Knowledge of risk platforms used at Wells Fargo (RCSA, CRAS+, SHRP)
            • Experience assessing and consulting around risk, compliance testing, or audit
            • Experience building new teams while leading through change effectively

              Job Expectations
              • Ability to travel up to 10% of the time

                Street Address
                MN-Minneapolis: 600 S 4th St - Minneapolis, MN
                MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
                IA-Des Moines: 666 Walnut St - Des Moines, IA
                NC-Charlotte: 401 S Tryon St - Charlotte, NC
                OR-Portland: 1300 Sw 5th Ave - Portland, OR
                TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
                TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX


                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.
                Associated topics: attorney, attorney corporate, business, compliance office, corporate, corporate attorney, courtroom, legal, legal affairs, legal department

Keywords: Wells Fargo, San Antonio , Compliance Manager 2 - Home Lending Testing and Validation, Executive , San Antonio, Texas

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