Compliance Consultant 3: ET&V UDAAP Testing COE - Call Monitoring in San Francisco, California | DiversityInc Careers
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Compliance Consultant 3: ET&V UDAAP Testing COE - Call Monitoring

Job Description

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. We focus on three key risk areas: credit risk, operational risk, and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Enterprise Testing & Validation (ET&V) conducts review activities (testing and validation) for Wells Fargo products and services, and spans a broad spectrum of risks including consumer protection, regulatory compliance, operational risk, and internal policies. ET&V is located within the second line of defense and executes testing and evaluations to provide insight into the effectiveness of implemented first line of defense business controls to assist the line of business with accomplishing their objectives as risk and control owners.

The ET&V – UDAAP/FL Testing Center of Excellence is seeking seasoned Compliance professionals to develop and perform call monitoring and testing activities as a part of a newly developed Unfair or Deceptive Acts or Practices (UDAAP) Call Monitoring Team. This group will provide monitoring services for a wide range of calling activities in Community Banking, Consumer Lending, and Payments, Virtual Solutions and Innovation, specifically evaluating calls for potential UDAAP and/or sales practice risks.

In addition to the responsibilities above, this Compliance Consultant 3 will have responsibility for:

  • Developing call monitoring/testing strategies and methodologies
  • Collaborating with ET&V Data Analytics team to execute testing activities including developing, implementing, reporting, and addressing issues identified with appropriate parties
  • Identifying and escalating UDAAP and sales practice risks
  • Participating in other complex testing engagements for UDAAP and FRL risks
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products, and internal controls
  • Drafting reports of findings and providing recommendations to business line management
  • Consulting with other leaders to assist in developing corrective action plans
  • Assisting in effectively managing change to ensure regulatory compliance
  • Mentoring and coaching peer Compliance Consultants

Preferred locations are Des Moines, IA - Littleton, CO - Phoenix, AZ - Shoreview, MN - San Francisco, CA - San Antonio, TX - Charlotte, NC - Glen Allen, VA; however other locations within the Wells Fargo footprint will be considered.

Required Qualifications

  • 1+ year of compliance and controls testing experience
  • 2+ 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
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field

Desired Qualifications

  • A BS/BA degree or higher
  • Risk and regulatory compliance experience
  • Ability to assess issues, make quick decisions, implement solutions, and influence change
  • Ability to exercise independent judgment and creative problem solving techniques
  • Ability to manage multiple and competing priorities
  • Strong collaboration and partnering skills
  • An active Certified Regulatory Compliance Manager (CRCM) designation
  • Strong time management skills and ability to meet deadlines
  • Ability to interact with all levels of an organization
  • Excellent verbal, written, and interpersonal communication skills
  • Intermediate Microsoft Office skills
  • Strong analytical skills with high attention to detail and accuracy

Other Desired Qualifications
  • Experience providing “credible challenge” to business partners when necessary
  • Prior call monitoring and/or quality assurance experience
  • Proficiency with Sales Practice and/or UDAAP concepts; knowledge and understanding of complex regulatory/compliance issues and potential solutions
  • Experience effectively interacting with a broad range of risk professionals, senior management, and regulators


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.