DallasRecruiter Since 2001
the smart solution for Dallas jobs

Compliance Manager 3 - 2nd Line Collections Compliance Risk and Control

Company: Wells Fargo Bank
Location: Grapevine
Posted on: December 5, 2019

Job Description:

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 prior to 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.Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group- specific testing.This manager will be accountable for developing and executing independent operational and compliance risk control testing for the Card & Retail Services and Personal Lending Group Collections lines of business. Strong business acumen and experience will be a determining factor in selection. Successful candidates will be articulate, thought leaders, and possess demonstrated leadership capability; they will be impressive in their inter-personal effectiveness, with regard to their accomplishments, and with a proven ability to engage and influence senior management and business and risk partners.Specific Job Responsibilities:

  • Manage a team that plans and executes compliance and operational risk control testing. Manage a team accountable for conducting end-to-end business process walkthroughs, identifying risks and primary and compensating operational and compliance controls, evaluating control design, and testing the effectiveness of manual and automated controls.
  • Accountable for assessing the universe of Risk Assessable Units (RAUs) in the business and providing effective challenge to business and risk and compliance partners when risks, Major Requirements (MRs) and operational controls are missing, inadequate, or ineffective.
  • Develop the team------s review and validation schedule and manage engagements to planned dates, resources, and hours. Anticipate changes in the internal and external environment and adapt the testing program of the team accordingly.
  • Management responsibilities include sourcing and hiring talented team members, providing ongoing performance feedback and coaching, recognizing and developing team members with stretch assignments, and completing daily management tasks.
  • Supervise the testing teams throughout the life cycle of the review activities to provide ongoing guidance on scope, sampling, testing approach, issues, work papers, quality reviews, etc.
  • Develop relationships with the business and implement an effective engagement model for the team and business. Partner with legal, compliance, and business partners to stay tuned with ongoing business process changes, regulatory expectations, customer feedback, etc.
  • Improve bench strength of the team. Develop subject matter expertise within the team of all the major products, services, and processes in the line of business and develop a thorough understanding of the laws and regulations, regulatory guidance, and policies and procedures of the functions reviewed.
  • Elevate the team------s quality of work performed. Review quality assurance feedback and take appropriate actions to address areas requiring attention.
  • Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency. Partner with other Products teams to drive synergies across the broader team.
  • Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls.
  • Stay abreast of management------s plans to address corrective actions and work with the validation team to understand and assess residual risks.
  • Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the board.
  • As needed, present work performed to audit, regulators, and other business partners.As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
    • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
    • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks. -- --

      Required Qualifications
      • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 3+ years of management experience

        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 articulate complex concepts in a clear manner

          Other Desired Qualifications
          • 4 + years of experience in Audit, Compliance, Risk and Testing
          • 2+ years experience in collections leadership or vendor oversight
          • Experience cultivating relationships and collaborating with business partners, legal, compliance
          • Ability to multi-task and meet deadlines despite competing priorities
          • Audit or compliance related certification such as the CPA, CIA, CRCM, etc.
          • Knowledge of risk platforms used at Wells Fargo and experience with testing & monitoring activities
          • Critical Thinking and Analytical skillsOne or more of the following certifications is desired:
            • Certified Regulatory Vendor Program Manager (CRVPM)
            • Certified Anti-Money Laundering Specialist (CAMS)
            • Certified Financial Crimes Specialist (CFCS)
            • Certified Information Systems Auditor (CISA)
            • Certified Internal Auditor (CIA)
            • Certified Public Accountant (CPA)
            • Certified Regulatory Compliance Manager (CRCM)
            • Certified Risk and Compliance Management Professional (CRCMP)
            • Certified Risk Professional Program (CRP)



              Street Address
              NC-Charlotte: 401 S Tryon St - Charlotte, NC
              MN-Minneapolis: 600 S 4th St - Minneapolis, MN
              MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
              IA-Des Moines: 800 Walnut St - Des Moines, IA
              IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
              OR-Portland: 1300 Sw 5th Ave - Portland, OR
              TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
              TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
              SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
              PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
              SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


              Disclaimer

              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.

Keywords: Wells Fargo Bank, Dallas , Compliance Manager 3 - 2nd Line Collections Compliance Risk and Control, Accounting, Auditing , Grapevine, Texas

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Accounting, Auditing Jobs


Remote Credentialed Tax Professional
Description: OverviewIf you are a highly motivated individual with an active credential CPA x2F EA x2F Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes (more...)
Company: Intuit
Location: Dallas
Posted on: 12/13/2019

Personal Financial Advisor
Description: We believe as a Relationship Manager, you will be facilitating relationships with Fidelity s most valuable and lucrative clients. Through your honesty and integrity, we know you will inspire client dedication (more...)
Company: Fidelity Investments
Location: Grand Prairie
Posted on: 12/13/2019

Travel Nurse RN - Home Health - $1,489 per week
Description: NurseFly Travel Nursing with American Mobile Healthcare is seeking a home health travel nurse for a travel nursing job in Richardson, Texas: br - Specialty: Home Health br - Discipline: RN br - (more...)
Company: NurseFly Travel Nursing
Location: Richardson
Posted on: 12/13/2019


Travel Nurse RN - ED - Emergency Department - $1,295 per week
Description: NurseFly Travel Nursing with American Mobile Healthcare is seeking a ed - emergency department travel nurse for a travel nursing job in Richardson, Texas: br - Specialty: ED - Emergency Department (more...)
Company: NurseFly Travel Nursing
Location: Richardson
Posted on: 12/13/2019

Travel Nurse RN - Pediatrics OR - Operating Room - $1,810 per week
Description: NurseFly Travel Nursing with American Mobile Healthcare is seeking a pediatrics or - operating room travel nurse for a travel nursing job in Dallas, Texas: br - Specialty: Pediatrics OR - Operating (more...)
Company: NurseFly Travel Nursing
Location: Dallas
Posted on: 12/13/2019

Credentialed Tax Professional - CPA, Enrolled Agent or Attorney - Remo
Description: Overview If you are a highly motivated individual with an active credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes using (more...)
Company: Intuit
Location: Garland
Posted on: 12/13/2019

Global Account Manager - Financial Services Industry
Description: Global Account Manager GAM - Financial Services IndustryWe are looking for a GAM ------ Global Account Manager --to join our team and play a key role in the evolution of Dell technologies. br br (more...)
Company: Dell
Location: Palmer
Posted on: 12/13/2019

Personal Financial Consultant
Description: We believe as a Relationship Manager, you will be facilitating relationships with Fidelity s most valuable and lucrative clients. Through your honesty and integrity, we know you will inspire client dedication (more...)
Company: Fidelity Investments
Location: Grand Prairie
Posted on: 12/13/2019

Financial Advisor
Description: We believe as a Relationship Manager, you will be facilitating relationships with Fidelity s most valuable and lucrative clients. Through your honesty and integrity, we know you will inspire client dedication (more...)
Company: Fidelity Investments
Location: Grand Prairie
Posted on: 12/13/2019

Remote Credentialed Tax Professional
Description: OverviewIf you are a highly motivated individual with an active credential CPA x2F EA x2F Practicing Attorney and excellent communication skills, we need you to help our customers complete their taxes (more...)
Company: Intuit
Location: Plano
Posted on: 12/13/2019

Log In or Create An Account

Get the latest Texas jobs by following @recnetTX on Twitter!

Dallas RSS job feeds