About this role:
Wells Fargo is seeking a Senior Compliance Specialist to provide guidance to Private Wealth Portfolio Management team.
In this role, you will:
- Support Private Wealth Portfolio Management on various regulatory and policy initiatives relating to investments for agency and trust accounts.
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- Provide oversight and monitoring of risk-based compliance programs
- Provide subject matter expertise with comprehensive knowledge of business and functional area
- Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
- Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Provide direction to the business on developing corrective action plans and effectively managing regulatory change
- Provide compliance risk expertise
- Consult for projects and initiatives with moderate risk for a business line
- Identify and recommend opportunities for process improvement and risk control development
- Provide direction to the business on developing corrective action plans and effectively managing regulatory change
- Report findings and make recommendations to management appropriate committees
- 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 risk compliance matters
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Want more jobs like this?
Get jobs in Charlotte, NC delivered to your inbox every week.
- 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Knowledge of the federal and state regulations applicable to bank fiduciary activities (e.g. Prudent Investor regulations and OCC Parts 9 and 12) and conflicts of interest.
- Proficiency in Microsoft Office Suite, including Access and Excel for detailed data analysis.
- Strong analytical skills with high attention to detail and accuracy.
- Strong relationship building and collaboration skills, proven experience working with senior bank management and/or regulators is helpful.
- Ability to quickly learn business processes, including Compliance policies and procedures.
- Strategic thinking skills, including the ability to analyze business issues and identify key risks/mitigating controls and provide credible challenge (when necessary), combined with a pragmatic approach to problem solving.
- High degree of initiative and strong ability to meet key responsibilities with limited direction and oversight.
- Strong organizational and time management skills, with the ability to manage multiple responsibilities and tasks simultaneously.
- Excellent written and verbal communication skills.
- This position offers a hybrid work schedule
- This position is not eligible for VISA sponsorship
- 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
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$84,000.00 - $149,400.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
10 Apr 2025
* 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.
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.