WIM Financial Crimes Operations Senior Due Diligence Consultant Quality Review

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About this role:

Wells Fargo is seeking a Senior Due Diligence Consultant for the WIM (Wealth and Investment Management) Financial Crimes Operations (FCO), Quality Control team. You will be responsible for providing internal Quality Control reviews on moderately complex financial crimes related processes.  The Quality Control team will work with Management as well as other financial crimes team members to ensure WIM lines of business and WIM FCO complies with all requirements and expectations associated with the Bank Secrecy Act, USA PATRIOT ACT, Wells Fargo Policy, and WIM Control standards. Learn more about our career areas and business divisions at wellsfargojobs.com.

In this role, you will:

• Provide ongoing independent Quality Control reviews real time or post completion for various WIM FCO processes
• Accurately analyze the results of the Quality Control review, identify trends, and escalate for further evaluation if needed
• Identify potential concerns, determine the root cause, and coordinate with management to determine appropriate next steps
• Clearly document results of Quality Control reviews in a complete, accurate, and timely manner
• Effectively communicate the results of the Quality Control review with the process owners, impacted consultants, and management
• Provide management and quality support as requested
• Participate in conducting due diligence programs on moderately complex initiatives and deliverables within functional area and contribute to large scale planning related to functional area deliverables
• Provide subject matter expertise on due diligence documentation requirements and data sources
• Support business in execution of due diligence reporting processes and controls, interpret policies, guidelines, and governance programs
• Review and analyze client onboarding processes and challenges that require research, investigation, evaluation, and selection of alternatives
• Provide subject matter expertise on documentation and data sources and exercise independent judgment to guide moderate to high-risk deliverables
• Compile and evaluate report results and escalate when necessary
• Resolve moderately complex issues and lead team to meet functional area process deliverables
• Leverage solid understanding of the function, policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues, managers, and internal and external customers to resolve issues and achieve goals

Required Qualifications:

• 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

Desired Qualifications:

• 3+ years of Financial Crimes experience with BSA/AML/OFAC laws and regulations
• 1+ years of Enhanced Due Diligence experience with high-risk customers or KYC experience
• 1+ years of Quality Control or Quality Assurance experience
• Strong analytical skills with high attention to detail and accuracy
• Experience performing detailed research
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to interact with all levels of an organization
• Operates independently with minimal supervision by effectively managing work requests to meet performance expectations
• Ability to navigate through ambiguity and maintain momentum driving for results and clarity in uncertain situations
• Intermediate Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills

Job Expectations:

• This position offers a hybrid work schedule.

Locations:

• 550 S 4th St Minneapolis, Minnesota 55415
• 1525 W W T Harris Blvd Charlotte, North Carolina 28262-8522

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$73,100.00 - $129,900.00

Posting End Date:

17 Mar 2025

*Job posting may come down early due to volume of applicants.

We Value Diversity

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, status as a protected veteran, or any other legally protected characteristic.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.