Senior Financial Crimes Specialist

1 month ago

Bengaluru, India WELLS FARGO BANK Full time
About this role:

Financial Crimes Risk Management (FCRM) has an opportunity for a Senior Financial Crimes Specialist to support the team's administration and execution of Risk Type Team responsibilities for the Risk and Control Self-Assessment (RCSA) methodology. This role requires knowledge of Financial Crimes and Operational Risk. The employee will also review and challenge the design of Operational Risk Key Risk Indicators (OR KRI) and any outer boundary breaches. The employee will use the Microsoft suite, primarily Excel and Word.

Work associated with this role requires understanding of the Risk Management Framework, Internal Control Policy, Risk and Control Self-Assessment Policy, Methodology and related procedures, and knowledge of financial crimes laws and regulations. Additionally, this role will require collaboration with key partners in U.S. Financial Crimes Risk Management.

In this role, you will:
  • Act as the FCRM point of contact for front line Business Groups and Enterprise Functions (BG/EFs) Risk Assessable Units (RAUs) and be a liaison between financial crimes subject matter experts (ex: Sanctions or Anti-Bribery & Corruption), Control Executive teams, Business Aligned Compliance Officers (BACOs), Operational Risk Business Oversight (ORBO) teams, IRM Facilitators, and others as needed for RCSA execution.
  • Review and challenge all output of RCSA to ensure that financial crimes risks are accurately identified and assessed, and that controls are appropriate to the risks to which they are aligned. -Specifically, in pre-workshop, review and challenge the Service Model, Fact Pack, and Operational Risk Questionnaire (ORQ) and provide an e-mail response to the ORQ within 24 hours.
    -In Workshop, review and challenge the ServiceNOW (SNOW) extracts and any additional documents provided to FCRM.
    -Engage as needed for all post-workshop activities (Business Environment Changes (BECs) which include changes to risks and/or controls).
  • Reviews and challenge the design of newly created KRIs, any changes to the design, and outer boundary breaches for root cause analysis and action plans.
  • Provide advice and consult on any financial crimes matter through the lifecycle of RCSA, host or participate in meetings and engage with the front line and independent risk management at various points in the RCSA lifecycle.
  • Perform the initial review and challenge of all output in the RCSA program and provide initial proposed feedback and opinions.
  • Submit all feedback, inclusive of proposed e-mail communications to their manager or U.S. financial crimes contact for review prior to taking action (e.g. logging formal challenges, e-mailing feedback, etc.).
  • Share in monitoring of internal shared mailboxes and ensure tracking logs and SharePoint site content remains up to date.
  • Help with ad hoc requests and reporting (e.g., Major Compliance Requirement analysis, Control analysis and trending, or RCSA reporting).
Required Qualifications:
  • 8+ years of Financial Crimes, Operational Risk, Fraud, Sanctions, Anti-Bribery, Corruption experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education. Understanding of the Risk Management Framework, Internal Control Policy, Risk and Control Self-Assessment Policy, Methodology and related procedures, and knowledge of financial crimes laws and regulations
Posting End Date:
17 Nov 2024
*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.

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.

Applicants with Disabilities

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

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

Wells Fargo Recruitment and Hiring Requirements:

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

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