About this role:
Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate Risk as part of Investment Solutions - Product and Advisory Services Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com . As the Senior Lead Compliance Officer, you will provide compliance leadership and guidance to the Wealth and Investment Management - Investment Solutions team.
In this role, you will:
- Provide leadership and guidance to Wealth Investment Management products teams on various regulatory and policy requirements covering applicable investment products
- Provide oversight and monitoring of business group risk-based compliance programs
- Perform assessment and challenge the control environment covering investments products and alternative investments
- Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
- Work with complex business units, rules, and regulations on moderate to high-risk compliance matters
- Monitor and independently challenge the 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
- Develop, oversee, and provide expert business and regulatory compliance functional knowledge
- Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines
- Identify and recommend opportunities for process improvement and risk control development
- Consult and engage business on developing corrective action plans and effectively managing regulatory change
- Report findings and make recommendations to management or directors and appropriate committees
- 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
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- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Expert knowledge of the Federal and state regulations applicable to investment company products and alternative investments
- Expert knowledge of investment company products and alternative investments
- Excellent written and verbal communication skills including an ability to communicate regulatory guidance across all levels of the organization
- Experience supporting Risk and Control Self-Assessment (RCSA), issue management processes, or similar activities
- Experience translating and presenting complex information in a manner that educates, enhances understanding and influences decisions
- Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals
- FINRA registration including Series 6 or 7 and 63 (or FINRA recognized equivalents)
- Ability to travel up to 5% of the time
- This position offers a hybrid work schedule
- Willingness to work on-site at stated location on the job opening
- 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.
- 401 S Tryon St. - Charlotte, NC 28202
- 114 N Beaumont St. D Bldg. - Saint Louis, MO 63103
- 600 S 4th St - Minneapolis, MN 55415
- 1150 W Washington St. - Tempe, AZ 85288
- 800 S Jordan Creek Pkwy - West Des Moines, IA 50266
- 250 E John Carpenter Frwy - Irving, TX 75062
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.
$144,400.00 - $300,000.00
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
4 Oct 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.
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.