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At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About This Role

Wells Fargo is seeking a Lead Compliance Officerin Corporate Risk as part of the Compliance Quality Assurance team in the Compliance Program Strategy, Planning & Governance function. Learn more about the career areas and business divisions at wellsfargojobs.com .The Lead Compliance Officer will be an individual contributor on the Compliance Quality Assurance team. The Quality Assurance team will perform quality testing of specific elements of the Regulatory Inventory and Regulatory Change management process. This role will be expected to execute on a consistent and repeatable process which includes, developing quality review script in alignment to the procedures and standards of the process being reviewed, effectively managing the pipeline of the work, executing, and documenting high-quality testing (to include employing a sampling strategy), reporting on the findings, effectively communicating with and address questions from the business partners.

In This Role, You Will

• Provide oversight and monitoring of business group risk-based compliance programs.
• Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines.
• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
• Report findings and make recommendations to management and appropriate committees.
• Identify and recommend opportunities for process improvement and risk control development.
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
• Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
• Make decisions and resolve issues to meet business objectives.
• Interpret policies, procedures, and compliance requirements.
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
• Work with complex business units, rules, and regulations on moderate to high-risk compliance matters.

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 5+ years in Audit, Testing, or Quality Assurance experience.
• Knowledge and understanding of process controls, including control design and or execution.
• Experience preparing and delivering presentations, management reporting, and analysis.
• A Bachelor's Degree or higher preferred.
• Ability to influence and collaborate at all organizational levels, particularly with senior management.
• Excellent verbal, written and interpersonal communication skills.

Job Expectations:

• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule
• This position is not eligible for VISA sponsorship
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Job posting may come down early due to volume of applicants

Posting Locations:

600 S 4th Street, Minneapolis, MN

401 S Tryon Street, Charlotte, NC

Posting End Date

24 Aug 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

• Third-Party recordings are prohibited unless authorized by Wells Fargo.
• Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Reference Number

R-392487-2