Compliance Consultant 3

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.

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

All your information will be kept confidential according to EEO guidelines.