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About this role:
Wells Fargo is seeking a Senior Investigator - Internal Investigations within Sales Practices and Conduct Management (SPCM). SPCM manages allegations of misconduct effectively when they arise, we reduce employee misconduct by sharing allegation insights with our business partners, and we demonstrate understanding and empathy for the employees that we serve.
In this role, you will:
Lead or participate in moderately complex initiatives within Investigations
Use technical expertise to investigate allegations of misconduct
Gather comprehensive evidentiary materials on cases with moderate to high risk or complexity related to individual allegations of misconduct
Conduct forensic accounting, assist with computer crime investigations, and investigate breeches of information security policies
Make risk-based decisions in compliance with company, legal and regulatory requirements, and recommend actions in response to investigations
Act as a primary investigator on high profile or complex cases
Resolve moderately complex issues and lead team to meet deliverables
Execute investigations with moderate to high risk and complexity
Mentor and provide guidance to less experienced staff
Function under a moderate degree of guidance and supervision
Make risk-based decisions in compliance with company, legal, and regulatory requirements and recommend actions in response to investigation
Collaborate with individual, legal, business management, and other resources to offer employment decisions and recommendations based on investigation results
Consult with peers, colleagues, and mid-level managers to resolve issues and achieve goals
Serve as the primary client contact on assigned casework
Required Qualifications, US:
4+ years of Investigations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
Investigative interviewing skills
Experience with moderate to complex internal investigations
Proven ability to assess, identify, and investigate allegations of misconduct
Exposure to fraud and/or BSA/AML investigations, investigations of financial crimes transactions or policy violations, risk management, or compliance
Knowledge of conduct management approaches/programs and front line risk management
Knowledge and understanding of Allegation Management Policy
Ability to leverage data to make effective business decisions
Knowledge of retail bank systems (i.e., SVP, OIB, etc.), processes, and contacts as resources to conduct independent assessments
Knowledge of brokerage platforms (i.e. Smartstation, Client Link), processes, and contacts as resources to conduct independent assessments
Ability to mentor and train less senior staff
Link analysis skills to identify common fraud elements, trends, or points of interests to locate related incidents
Demonstrated ability to work with leaders and team members at all levels and across functional lines
Employs specialized research techniques to detect fraudulent behaviors through strategy alerting opportunities
Possess advanced level technical skills to navigate various applications to identify internal fraud
Ability to manage complex data requiring the coordination of internal and external resources
Strong interpersonal skills and be highly effective in dealing with individuals regarding sensitive matters
Excellent oral and written communication skills and be capable of dealing with all levels of management, team members, business partners, customers, outside professionals, and law enforcement personnel
Ability to synthesize complex analytical findings into executive level communications
A BS/BA degree or higher
Certified Fraud Examiner (CFE)
Certified Fraud Specialist (CFS)
Experience with Enterprise Allegations Platform (EAP) and banking systems and operations.
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Job Expectations:
Willingness to work on-site at one of the stated locations on the job opening
Ability to work a hybrid work schedule - 3 days in office / 2 days remote
Posting End Date: 22 Sep 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 .
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.