CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website .
Market Job Description
Wells Fargo first conducted business in Canada in 1854 and since then has continued to build a strong presence across the country. Wells Fargo now offers a broad range of financial products and services through multiple lines of business operating throughout Canada.
The International Testing & Validation (T&V) function covering both the Canada and Latin America regions has an immediate opening for a Senior Compliance Consultant that will provide second line of defense T&V services concentrated on regulatory compliance risk, control testing requirements. The T&V function provides regulatory compliance oversight through the execution of standardized testing. Designed to provide independent assurance that risk programs and controls are operating effectively across the regulatory compliance, key risk type.
As an Senior Compliance Consultant of the T&V team, you will be lead tester responsible for executing regulatory compliance testing engagements that are part of the annual plan and also undertake issue validation work efforts. The Team Member will perform independent testing and monitoring activities across an assortment of business lines, legal entities and other related functions within the responsibility of the regions.
Specific duties for this position include, but are not limited to:
Development and design of testing strategies and methodologies in accordance with legislative accepted requirement, corporate regulatory compliance, policies, procedures, and internal controls
Execute detailed test script procedures, sampling strategies, research and obtain supporting documentation relating to the work performed and document the results of the analysis process
Lead review activity engagements ensuring regulatory compliance, control testing review activity engagements are proficiently and efficiently performed, accurately interpret results against distinct criteria's
Evaluate the adequacy and effectiveness of legislative requirements, policies, procedures, processes, and internal controls
Prepare comprehensive reporting of test conclusions by process/controls and/or mandatory compliance requirements
Prepare report findings, providing sensible recommendations, proposing areas for improvement and presenting to business line and regional management
Lead and conduct validation testing and follow-up of Issues/Corrective Actions to monitor and assess management's implementation of recommendations
As lead, ensure that assigned compliance activity review assignments that are part of the Annual Compliance Testing Plan are delivered timely
Provide compliance testing expertise in the identification of risks, assessing of controls and reporting on effectiveness of controls to ensure compliance with federal, provincial, agency, legal, regulatory, policy and procedure requirements
Develops a sound understanding of line of business, local, Canadian, US and any other accepted regulatory legislative expectations.
Market Skills and Certifications
6+ years in compliance or 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) and 6+ years in one or more of the following: compliance, operational risk management, business process management or financial services, or a Bachelor's or advanced degree in Business or Economics
Preferred Qualifications :
Understanding of regulatory requirements within Canada and Latin America
Strong working knowledge of audit principles including sampling methods
Excellent oral, written, and interpersonal communication skills
Collaborative team player with business relationship building attributes
Ability to meet timeline deliverables in a consistent manner
Sound and continued knowledge of the Compliance Risk Assessment process across different lines of business and the Corporation
Experience with compliance and operational risk systems such as GRC tools
Ability to multi-task between multiple and ongoing responsibilities and assignments
Proven ability in exercising independent judgment and applying prudent risk mitigation principles
Exhibits flexibility and adaptability
Audit or compliance management related certifications (CIA, CPA, CRMA, etc.)
Ability to travel approximately 10 - 20%
We Value Diversity
At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.
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.