Lead Compliance Officer - Reporting

About this role:

Wells Fargo is looking for a Compliance Officer responsible for creating, executing, and delivering reports to management and governance committees. The role involves turning compliance risk information into executive-friendly high-quality reports while meeting strict deadlines. This role will also partner with other compliance officers to manage schedules, design report templates, assemble reports, and delivery to executive audiences.

In this role, you will:

• Work with stakeholders across Compliance to design and generate compliance risk reporting to governance committees.
• Manage reporting schedules, templates, and deliverables that align to committee timelines and requirements.
• Summarize risk topics to communicate compliance risks to the organization while being executive friendly in messaging.
• Influence executive leaders to provide information in a manner that meets management and committee expectations.
• 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
• 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
• 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
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

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

• Experience developing executive and committee ready reporting
• Strong writing skills with the ability to communicate complex topics
• Strong MS PowerPoint and SharePoint skills
• Communication skills to interface with executive leadership and peers
• General knowledge of compliance regulations and expectations applicable to financial services.

• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.
• 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.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

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