Wells Fargo Quality Control and Process Governance Manager in Des Moines, Iowa
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Commercial Banking provides financial solutions to businesses with annual sales generally in excess of $5 million. Our business lines are Wells Fargo Commercial Capital, Middle Market Banking, and Treasury Management & Payment Solutions.
Wells Fargo Commercial Capital
o A market-leading provider of working capital, investment capital, trust services, and sales financing solutions that help customers optimize liquidity and grow their business through their lifecycle
Middle Market Banking
o Services private and public companies with annual sales of $5 million to $2 billion
o Specialized expertise across industry sectors
Treasury Management & Payment Solutions
o Provides cash management services and digital channel capabilities for customers of Commercial Banking and Corporate & Investment Banking
o Also serves some Consumer and Small Business Banking and Wealth and Investment Management customers, and Auto Dealer Finance partner relationships in Consumer Lending
The Leader of Quality Control and Process Governance Flood is a senior leader in the Flood organization that is responsible for the due diligence for FDPA compliance for regulated Inline Quality Control and Post Close Quality Control for Core and Specialty portfolios, regulatory governance, and audit exam readiness.
Leads the newly created Quality Control and Process Governance team, including regulatory governance, regulatory reporting, complaints management, issue escalation, processes, business escalation and workflow management, internal testing, audit and internal and external exam readiness. Manages significant regulatory risk for a fast paced, dynamic, regulated Flood portfolio and fosters a regulatory risk mindset within the organization. Lead and single point of contact with regulatory agencies to communicate progress updates, execution strategies and provide timeliness of reporting requirements. Establish steering committee model in partnership with business risk and control, to drive transparency to internal and external stakeholders. Works collectively with leaders, employees and stakeholders to set a high standard for regulatory compliance and execution. Drives collaboration with key stakeholders and partners to develop strategy, create robust policies, processes and procedures that deliver a robust risk control framework. Establishes a closed loop feedback mechanism that identifies improvements, integrates changes in processes and procedures, and creates accountability to achieve best in class results. Facilitates a benchmarking opportunity that can be leveraged across the enterprise Flood organization. Ensure that every employee manages risk, including identifying, measuring and assessing, controlling, monitoring, and reporting on risk associated with their business activities. Ensures team completes a full and comprehensive regulatory quality review and authorizes that all structures have been properly identified on every regulatory transaction, and ensures compliance with internal company requirements and /or agency or government regulations and policy. Drives recommendations for changes and/or risk mitigation opportunities to reduce or eliminate exposure in the portfolio. Partner with and influence Transformation and Technology leaders to prioritize enhancements for the overall Flood program
Develops the strategy and creates a structure for reporting and portfolio monitoring. Drives accountability for all aspects of Quality Control, analyzes the trend data, root cause analysis and issue escalation. Designs and implements control framework to deliver sustainable control effectiveness. Incorporates and supports the Flood Core organization in operationalizing the changes that are needed/required. Leads efforts to operationalize changes required to deliver robust control framework across the Flood organization.
Leads, coaches, influences, motivates and develops team members, including decisions relative to performance, compensation, and development. Is a catalyst for change. Builds a high performing team and cultivates an effective risk management skills and mindset.
The Quality Control and Process Governance Flood team is a key control in ensuring Wells Fargo is fully assessing the Flood risk, and is compliant with the FDPA.
This role is key to ensuring Wells Fargo is fully assessing risk, data integrity, and validating accuracy of process and procedure across all of CB Flood Operations. A failure to mitigate risk in this portfolio would have significant impacts to the Bank by creating defects that could result in regulatory and policy violations and adverse impact to internal and external customers
In response to significant business imperatives, coordinates activities involved in planning for long-range and fundamental retooling of perspective, approach, culture, quality, relationships, operations, and/or capabilities. Works with key internal and/or external partners, possibly including agency representatives, regulators and auditors, to distill complex concepts into pragmatic and simplified/targeted solutions. Develops and implements reporting/information delivery/presentations with key stakeholders and senior management, including root cause, cost/benefit, and risk analyses to set the foundation for change. Coordinates workflow for assigned Quality Control Initaitives, assisting to ensure solutions are designed, integrated and controlled to improve effectiveness, limit risk exposure and create efficiencies as appropriate.
Provides subject matter expertise to external regulators, i.e. OCC, internal audit.
Flood Core Servicing Leader
Risk and Control
Product and Technology
This leader will need to lead the quality control and process governance organization as well as act as a key member of the CB Flood Operations leadership team. This role will have accountability for interacting and collaborating with all pre and post close leaders to ensure full transparency and awareness. This person will engage with all leaders up and down-stream in the operations flow to ensure quality control functions are in tempo with all areas of the organization. This leader will interact regularly with all business lines they serve and act as a liaison with Risk and Controls, audit, both internal and external. Will act as the visionary who will partner and collaborate across Commercial Banking to build a best in class organization.
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.
As an Employee Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically, you will:
• Lead your team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them.
• Accomplish management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing and developing employees, identifying and managing risks, and completing daily management tasks.
10+ years of experience in one or a combination of the following: customer service, loan administration, collections, or sales environment
7+ years of management experience
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of an organization
Other Desired Qualifications
Experience working with internal and external audit teams
Ability in working in a highly regulated and high pressure environment
Excellent decision making skills
Demonstrated ability lead quality control teams with a focus on risk mitigation and a sustainable control methodology. Ability to critically think through various, complex scenarios, multiple systems & processes
Ability to lead teams during times of ambiguity and change
Demonstrated ability to effectively and creditably interface with internal audit, risk and regulatory agencies
Leadership experience with ability to effectively manage, motivate and engage teams
Leadership roles with broad financial services experience in a regulated environment
Drives execution through collaboration relationship building.
Exceptional ability to interact with all levels of a highly matrixed organization
Excellent verbal, written, and interpersonal communication skills
Demonstrated ability to be a visible leader, developing strong partnerships with key stakeholders, and providing outreach to internal customers and partners to effectively serve customers
Experience providing expertise and insight into performance, metrics, etc. across all levels of leadership
Experience in reviewing policies and procedures which directly impact the business line and may affect the entire Line of Business.
Demonstrated success in implementing strategic change in a complex business model.
- Ability to travel up to 25% of the time
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.
Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.
Company: Wells Fargo
Req Number: 5589568-5
Updated: 2021-07-24 01:49:31.400 UTC
Location: Des Moines,IA
- Wells Fargo Jobs