WIM AML Sr. Due Diligence Consultant Job at WELLS FARGO BANK
About this role:
Wells Fargo is seeking a Senior Due Diligence Consultant for Wealth & Investment Management (WIM) Financial Crimes. This role will lead the Anti-Money Laundering (AML) Program for the WIM Investment Contact Center, as well as WIM support functions including WIM Marketing, WIM Control Executive, WIM Operations, and the WIM Chief Administrative Office.
In this role, you will:
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Wells Fargo is seeking a Senior Due Diligence Consultant for Wealth & Investment Management (WIM) Financial Crimes. This role will lead the Anti-Money Laundering (AML) Program for the WIM Investment Contact Center, as well as WIM support functions including WIM Marketing, WIM Control Executive, WIM Operations, and the WIM Chief Administrative Office.
In this role, you will:
- Maintain a quality AML Program Guide Narrative applicable to the support function
- Lead financial crimes policy implementation activities
- Assess controls, systems and processes to identify opportunities for program improvement
- Create, revise or advise on supporting business procedures related to financial crimes
- Complete annual AML and Anti-Bribery Corruption (ABC) Risk Assessments
- Assist with financial crimes-related exams, audits and testing engagements by responding to document requests, answering questions related to processes/controls, and evaluating preliminary observations
- Demonstrate strong organizational and communication skills (both written and verbal) needed as position requires frequent interaction with various groups within Wells Fargo including Financial Crimes Risk Management (FCRM) and Financial Crimes Legal
- Support operational transformation efforts that modernize WIM platforms and enable a differentiated customer experience
- Drive accountability for assigned initiatives, limit risk exposure, and create efficiencies as appropriate
- 4+ years of Due Diligence experience, or equivalent (including risk management, client service, operations support, or business process management) demonstrated through one or a combination of the following: work experience, training, military experience, education
- At least 2 years of experience in financial crimes
- Experience partnering with a business unit to execute and maintain program deliverables
- Experience assessing controls, and creating or revising program policy or procedure to ensure compliance with financial crimes requirements
- Strong interpersonal, influencing, and communications skills with a proven ability to interact effectively with stakeholders and examiners as well as across various management levels within an organization
- Ability to think strategically and pivot between multiple priorities with a focus on work product/outcomes
- Ability to synthesize material from multiple sources (e.g., presentations, SharePoint sites, regulatory materials, etc.) to create logically structured content that clearly communicates the intended topic to a wide range of audiences
- Experience in a consulting or similar environment in which the candidate has proven success in managing multiple priorities with competing deadlines
- Ability to embrace a dynamic work environment and provide high-quality deliverables in a condensed time period (i.e., fast paced environment)
- Exceptional problem solving and analytical skills with proven ability to turn findings into executable plans
- Thorough understanding of applicable governing laws and regulations and the needed policies and procedures for a strong financial crimes program
- CAMS certification
- Hybrid in-office model (minimum of 3 days per week in one of the office locations listed). Full time telework or remote work setting is not available.
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
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