About this role: Wells Fargo is seeking a Senior Compliance Specialist as part of Corporate Risk to join the Compliance Issue Management team. In this role, the Senior Compliance Specialist will be responsible for the Compliance Risk issue management function for multiple front-line teams. Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:
- Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk issues
- Oversee the business aligned compliance officers' execution on Issue Management review/challenge requirements related to compliance risk issues
- Drive accountability for oversight routines, limit risk exposure, and create efficiencies as appropriate
- Create issue reporting from using the Enterprise Issue Management dashboard (tableau)
- Update and track Compliance Risk issue information within the enterprise system of record, Veritas
- Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
- Make decisions in complex and multifaceted situations requiring solid understanding of business's functional area or products, operations, and regulatory environment; facilitate decision-making and issue resolution, and support implementation of developed solutions and plans; influence and lead key business partners to meet deliverables and drive new initiatives
- Identify and recommend opportunities for process improvement and risk control development
- Create issue management reporting for management, including the tracking/monitoring of service level agreements (SLAs)
- Act as liaison for the business with external parties to support timeliness, appropriate response strategy, and effectiveness of communications and materials
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
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- 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Experience with issue management and root cause analysis
- Experience with systems: SHRP, Veritas, Tableau, MicroStrategy
- Demonstrated experience with compliance programs that support adherence to financial services regulations and/or prudential regulatory guidance
- Experience leading or providing meaningful contributions to projects or initiatives
- Strong organization skills, able to review information and present it in a logical manner
- Strong presentation skills, creating PowerPoints with varying levels of information
- Strong analytical skills with high level of attention to detail and accuracy
- Highly proficient in creating work product using Microsoft Office: Word, PowerPoint, Excel
- Ability to collaborate and consult with colleagues and managers to resolve problems and achieve goals
Locations:
- NC-Charlotte: 401 S Tryon St - Charlotte, NC
- TX-Irving: 250 E John Carpenter Frwy - Irving, TX
- IA-West Des Moines: 800 S Jordan Creek Parkway - West Des Moines, IA
- MN-Minneapolis: 600 S 4th St - Minneapolis, MN
- AZ-Tempe: 1150 W Washington St - Tempe, AZ
- MO-Saint Louis: 114 N Beaumont - Saint Louis, MO
- This position offers a hybrid work schedule
- Required location(s) listed above. Relocation assistance is not available for this position.
- This position is not eligible for Visa sponsorship
Posting End Date:
29 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.