Full 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 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.
Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company’s values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line’s adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.
Complaints Oversight, part of Conduct Risk, established the Independent Risk Management (IRM) Complaints Emerging Risk Program to provide an enterprise view of risks identified by IRM teams through complaints monitoring, assign clear accountability for oversight, drive escalation and disposition of risks, track corrective actions, and provide aggregated reporting for use in executive reporting.
The Program continues to focus on establishing processes and routines to drive integration across Corporate Risk. Successful implementation of the program will:
Improve escalation and disposition of emerging risks by assigning accountability
Improve front line engagement through coordination across risk teams
Define roles and responsibilities, reducing duplication of effort
The Program is seeking a Compliance Sr. Associate to assist in establishing and executing the processes and routines needed for success. Key responsibilities of this role could include:
Manage validation activities associated with Compliance Policy Program requirements and other Consent Order commitments
Drive the development and execution of weekly, monthly, and quarterly routines to ensure the Program is delivering on commitments defined in the IRM Complaints Emerging Risk Program procedure
Establish and execute communication routines that deliver meaningful updates to Program stakeholders on progress, and highlight any issues or risks that might jeopardize timely completion of key milestones
Coordinate the delivery of the monthly IRM Complaints Emerging Risk Report
Facilitate weekly Program meetings and meetings with Program participants
Drive the disposition of emerging risks through engagement with other IRM teams and the front line
Track completion of Program requirements implemented IRM teams as defined in the IRM Complaints Emerging Risk Program procedure
Maintain the IRM Complaints Emerging Risk Program procedure
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
5+ years of process design or improvement experience
Advanced Microsoft Office skills
Experience reviewing complaints and complaints data
Knowledge and understanding of Wells Fargo Enterprise Complaints Policy
Experience with Wells Fargo complaints management process
Strong attention to detail, including accuracy in grammar and a sharp focus on eliminating errors
Other Desired Qualifications
2+ years complaints management experience
3+ years of experience writing or updating business documents such as Business Requirements Documents (BRDs), testing matrices or scenarios, user guides and procedures
3+ years of experience creating executive level dashboards, analytics, and reports using advanced visualization tools
Advanced PowerPoint Skills
Advanced SharePoint Skills - strong user skills and the ability to create and modify lists, basic page
Ability to travel up to 5% of the time
NC-Charlotte: 401 S Tryon St - Charlotte, NC
TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
TX-Irving: 250 E John Carpenter Freeway - Irving, TX
TX-Plano: 4975 Preston Park Blvd - Plano, TX
IA-Des Moines: 206 8th St - DES MOINES, IA
IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
MN-Minneapolis: 2650 Wells Fargo Way - Minneapolis, MN
MN-Saint Louis Park: 435 Ford Rd - Saint Louis Park, MN
NY-New York: 150 E 42nd St - New York, NY
NJ-Summit: 190 River Rd - Summit, NJ
AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln - Phoenix, AZ
AZ-Chandler: 2700 S Price Rd - Chandler, AZ
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO