Compliance Consultant 4 (Testing & Validation) WFVC Contact Centers and Digital in Charlotte, North Carolina | DiversityInc Careers
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Compliance Consultant 4 (Testing & Validation) WFVC Contact Centers and Digital

Job Description

At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. 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.

You’ve got the passion. You’ve got the skills. Now you just need the right opportunity. At Wells Fargo, you’ll have the chance to join a team of intelligent and talented people who share the same values. Our diverse lines of business offer a world of opportunity to expand your capabilities and advance your career. We invest in our people and provide a supportive environment in which to learn and grow.

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.8 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through 8,700 locations, 13,000 ATMs, the internet ( and mobile banking, and has offices in 36 countries to support customers who conduct business in the global economy. With approximately 265,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 30 on Fortune’s 2015 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

Enterprise Testing and Validation (ET&V) conducts review activities for Wells Fargo Virtual Channels (WFVC) products and services, and spans a broad spectrum of risks, including consumer protection, regulatory compliance, operational risk and internal policies. ET&V provides second line of defense testing and evaluations to provide insight into the effectiveness of implemented business controls to assist the line of business with accomplishing their objectives as risk and control owners. With over 13,000 team members, WFVC serves Wells Fargo consumer and small business customers through digital (online, mobile, and social) and contact centers (phone, email, and correspondence). Over 32 million customers use our digital channels to manage their financial lives. Our customer-facing contact centers provide service and solutions to customers by phone, email and letter 24 hours a day, 7 days a week with approximately 450 million customer contacts annually. WFVC’s vision is to pioneer the next generation of financial services and provide the best virtual experiences, anytime, anyhow, anywhere.

Key responsibilities for this Compliance Consultant position include (but are not limited to):

  • Developing and implementing testing strategies and methodology.
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, product and internal controls.
  • Participating in complex testing engagements for multiple regulations impacting WFVC.
  • Drafting reports of findings and providing recommendations to business line management.
  • Consulting with the business to assist in developing corrective action plans.
  • Assist in effectively managing change to ensure regulatory compliance.
  • Collaborate with WFVC Risk Management and the ET&V Data Analytics team to execute testing activities including developing, implementing, reporting and addressing issues identified with appropriate parties.
  • Mentoring and coaching peer Compliance Consultants.

The ideal candidate will demonstrate strong leadership, and the ability to: analyze and simplify complex information; be objective, capable of independent challenge; communicate effectively to various audiences, including senior management; influence stakeholders in collaborative environment without direct organizational authority; manage multiple priorities concurrently; demonstrate project management skills; make decisions in the face of uncertainty; create partnerships and build a strong network of resources; and compile, analyze, and interpret reporting; work effectively across multiple lines of business; maintain the attention to detail; work in a fast paced environment with little direction; and demonstrate strong organizational skills.

Location: San Francisco, CA; Charlotte, NC; Minneapolis, MN; Des Moines, IA; Phoenix, AZ. Other locations may be considered within the Wells Fargo footprint.

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. If you are a Wells Fargo Team Member, in your Jobs Profile ensure that your email address is valid and updated to an address that can receive external emails outside of the banking network. Initial contact with you will be made via e-mail. Please check your e-mail regularly for updates.

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
  • 2+ years of compliance and controls testing 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 interact with all levels of an organization
  • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
  • Risk and regulatory compliance experience
  • A BS/BA degree or higher
  • Strong collaboration and partnering skills
  • Strong time management skills and ability to meet deadlines
  • Ability to manage multiple and competing priorities
  • Ability to exercise independent judgment and creative problem solving techniques
  • Ability to assess issues, make quick decisions, implement solutions, and influence change
  • Knowledge and understanding of complex regulatory/compliance issues and potential solutions
  • Exposure to Wells Fargo CRAS+ (Control Risk Analysis System)
  • An active Certified Regulatory Compliance Manager (CRCM) designation
  • Leadership experience including; coaching, training, and mentoring
  • Exposure to Wells Fargo s Shared Risk Platform (SHRP)

Other Desired Qualifications
  • Knowledge and understanding of consumer protection and regulatory requirements that impact the Wells Fargo Virtual Channels Digital and Contact Centers, is preferred
  • Project management experience
  • Experience providing “credible challenge” to business partners when necessary.
  • 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.