About this role:
Wells Fargo is seeking a Senior Lead Compliance Officer as part of Corporate Compliance Regulatory Change Management (CRCM). Learn more about the career areas and lines of business at wellsfargojobs.com . The RCIM organization is dedicated to ensuring that Wells Fargo's regulatory changes are implemented with demonstrated transparency and efficiency. These roles are pivotal in supporting the regulatory change management lifecycle, product development and enablement, driving adoption of centralized utilities and tools, and fostering deep collaborative relationships among business-aligned compliance officers and key partners. The ideal candidate will possess a deep understanding of regulatory requirements, strong relationship management skills, and the ability to drive regulatory change initiatives or manage special work assignment tactics (SWAT) effectively.
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In this role, you may:
- Manage product enablement activities related to RRCM Platform and customer success
- Execute RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
- Manage operational and analytical efforts for RCM, including SWAT efforts
- May serve as product owner (level 1) for RCM, including SWAT efforts
- Lead processes for product area(s), including its operational, financial, and regulatory aspects
- Lead RCM change management activities triggered by process updates to ensure compliance with operative policies and regulations, including communication and education
- Interpret customer needs using regulatory data to identify trends and drive adoption of centralized tools and reporting
- Collaborate and consult with peers, colleagues, and managers to resolve achieve goals
- Coordinate multiple regulatory change initiatives across in a cross-matrixed environment
- Advocate for the compliance function and promote a culture of compliance within the organization.
- Provide horizontal RCM product enablement to support execution of deliverables
- Develop reporting, escalation communications, and manage timely remediation of risks
- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 7+ years of experience in compliance, regulatory change management, or a related field within the financial services industry
- 5+ years process optimization experience
- 3+ years of Product support experience
- Ability to successfully explain and guide people through the process and manage any low-level process requirements
- Strong knowledge of regulatory requirements and compliance best practices.
- Proven experience in leading regulatory change management processes and developing products leveraging technology.
- Proficiency in using regulatory technology (RegTech) solutions and other relevant software tools to manage regulatory changes and compliance
- Understanding of system integration and the impact of regulatory changes on IT systems and infrastructure.
- Solution-oriented mindset with experience developing process improvement strategies.
- Strong Analytical skills, critical thinking with problem solving competency and attention to detail
- Excellent skills in engaging and managing relationships with a wide range of stakeholders, including regulators, senior management, and business units
- Ability to redesign processes and enhance solutions through identifying technical solutions
- Experience collaborating and building relationships across multiple stakeholders
- Demonstrated ability to build and maintain strong relationships with key stakeholder groups
- Effective communication and presentation skills for varying levels of information
- Six Sigma Certification or Certified Regulatory Compliance Manager (CRCM)
Locations:
- Charlotte, NC
- Dallas, TX
- West Des Moines, IA
- Minneapolis, MN
- Tempe, AZ
- St. 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
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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
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
19 Dec 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.