Compliance Consultant 3
Job Details
Full Job Description
Company Description
Req # : 5063931 | Type: Full Time | Posted: Today | Edited: N/A | Fee: 20.00% Percentage Computed On Base Salary
Wells Fargo
minimum: $62,000
Maximum: $112,700
target: $87,000
Bonus:
12%
Travel: 0%
Sponsor/transfer H-13 and/or H-2B:
No
sponsor / transfer work permits: No
Paid relocation: No
Honor Period: 6 months
Job Description
Responsible for performing risk-based compliance control testing to assure compliance with regulatory requirements and corporate policies applicable to brokerage. These responsibilities will include the support and/or testing for compliance of the Regulatory Compliance Risk Management Policy and Procedures and the Compliance Risk Analysis System (CRAS) Standards and will include usage of the Wells Fargo CRAS+ system. Works with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in business activities as well as developing corrective action plans for deficiencies. Report findings and draft recommendations to compliance risk and business line management. Coordinate/leverage certain responsibilities and best practices with other brokerage departments (i.e. Internal Controls, Operational Risk) as well as other WBR compliance programs (i.e. Wealth, Retirement). Produce periodic compliance performance reports (i.e. CAR Reports, Operational Risk Profile Report) for senior management.
Qualifications
Basic
Qualifications
2+ years in compliance or operational risk
mgmt. (includes audit, legal, credit risk, market risk, or the
management of a process or business with accountability for compliance
or operational risk) and 2+ years in one or more of the following:
compliance, operational risk mgmt., IT systems security, business
process mgmt. or financial services, or a Bachelor''s or advanced
degree in business or economics.
Minimum
Qualifications
Candidates should have 2+ years of
compliance or operational risk management experience.
Bachelors degree
Strong analytical and critical thinking
skills as well as ability to gain an understanding of and evaluate the
internal controls of previously unfamiliar areas.
Strong
organizational skills, ability to work independently and on multiple
initiatives concurrently is required.
Also must possess
excellent verbal and written communication skills and the ability to
effectively interact with all levels of management and staff.
Proven ability to consistently meet deadlines and possess a high
level of motivation and enthusiasm.
Preferred Qualifications
Advanced degree (MBA), preferably
in accounting or finance, or certification (CPA, CFP, CFA, CIA) is
preferred.
Prior exposure to compliance and regulatory
controls in a financial services environment
Additional Information
Compliance Consultant 3
North Star Staffing Solutions
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