About the Role 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. Produce periodic compliance performance reports (i.e. CAR Reports) for senior management. 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 Operational Risk and Compliance Testing and Validation Standards and Regulatory Compliance Risk Management Policy and Procedures and will include usage of the Wells Fargo SHRP system. Does not manage other team members. Responsibilities
Work with TV partners and lines of business to perform Compliance testing (BSA/AML/OFAC Financial Crimes) and/or operational risk control testing reviews
Keyskills: Manager Internal Audit Excel Operational risk Trade finance Analytical Consulting Asset management Visio Risk management Financial services
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,600...