Compliance Consultant

  • Competitive
  • Charlotte, NC, États-Unis
  • CDI, Plein-temps
  • Wells Fargo US
  • 18 oct. 17 2017-10-18

Compliance Consultant

Job Description
Fixed Income Compliance is seeking an experience surveillance officer and project manager with strong technical ability, a proven history of successfully supporting a business and familiarity with regulatory compliance to update and upgrade the Fixed Income Compliance program. The successful candidate will have 6 years of experience in compliance or other risk discipline and a proven record in taking "as-is" operational capabilities and designing "to-be" tactical and operational solutions. Job duties include:

  • Perform end-to-end project management, demonstrating ownership of the entire process from start to completion.
  • Lead surveillance data analysis initiatives for data-driven decision management and reporting,
  • Stay up to date on the latest fixed income surveillance industry and regulator trends and implement advanced surveillance methods.
  • Utilize data and technology as a driver to perform testing to validate the effectiveness and consistency of regulatory controls such as surveillance activities.
  • Assess existing processes and identify opportunities to improve and automate.
  • Use available resources to improve visibility into existing data sets, such as trending by team member, counterparty, etc.
  • Implement scheduling of regular updates to the Compliance program, organizing and ensuring updates are implemented through to the end product.
  • Create improved Compliance website for LOB use.
  • Thoroughly document the development and use of end user computer tools.
  • Administer the department's end user computer tools program in line with corporate policy.
  • Liaise with the SMART team, Capital Markets technology team and other technology partners to keep department projects and initiatives on schedule.
  • Participate in User testing for changes to systems.
  • Ensure integrity and delivery of multiple projects with respect to time, budget, scope, change, risk and resource.
  • Develop and administer methodology for department responses to data requests from regulators, audit or other corporate partners.
  • Perform routine data analysis of fixed income surveillance results to detect and explain anomalies.
  • Consult with compliance partners to clarify and define project requirements and business cases.
  • Draft Business Requirements Documents that thoroughly and accurately describe Fixed Income Compliance department needs and regulatory requirements. Verify that those requirements are accurately captured in Functional Specification Documents. Provide regular, concise reporting on status of all ongoing projects.
  • Ensure accuracy and completeness of department records of Fixed Income Compliance requests for technology needs, enhancements and upgrades.

Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following, and adhering to and if applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

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 3+ years must include direct experience in compliance, operational risk management, or a combination of both

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 interact with all levels of an organization

Other Desired Qualifications
  • Solid project management experience and skills.
  • Strong technical knowledge and skills.
  • Direct experience using data visualization to communicate compliance surveillance and uncover insights from visual analytics.
  • Knowledge of FINRA and SEC regulatory affecting institutional broker-dealers.
  • Ability to analyze and test compliance surveillance models.
  • Strong communication and partnership skills; team player with ability to obtain results.
  • Familiar with systems used by Compliance including Actimize, ZL, Bloomberg , TMS, and CCMT.
  • Series 7 or 79 and Series 24 or obtain within one year.
    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.