Compliance Executive - COO Compliance, ADA, Customer Remediation, and SCRA/MLA

at  Wells Fargo

APPLICANTS WITH DISABILITIES

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Desired Qualifications:

• Subject matter expertise in processes related to regulatory compliance risk management and a well-rounded knowledge of current compliance issues and challenges.
• Excellent communication skills, both verbal and written; and ability to communicate effectively across a variety of audiences and constituencies
• Experience generating impactful management reporting reflecting thoughtful organization and presentation of data, critical thinking and analysis of information, and a keen attention to detail/accuracy.
• Leadership skills and the ability to drive successful execution of strategic initiatives, including the ability to plan, prioritize and set goals; must possess a sense of urgency about exceeding the objectives of the role.
• Proven ability to successfully coordinate initiatives spanning across the firm and communicate with various levels of management.
• Demonstrated operational excellence, effective decision-making results orientation, and flexibility.
• Highly organized with the ability to manage processes and people, handle multiple tasks simultaneously and prioritize effectively.
• An impeccable reputation for integrity, accuracy, consistency, big picture orientation and business acumen.
• Experience leading enterprise-wide initiatives and large/complex projects preferred

Wells Fargo is seeking a Compliance Executive who will oversee compliance risk management activities across the Chief Operating Office, including enterprise Operations. This leader will also oversee the Horizontal Programs of ADA, SCRA, and Global Tax Information Reporting. This leader will oversee compliance program execution in operational functions, management of regulatory changes and oversight of regulatory requirements managed globally by the Chief Operating Office and the aligned Horizontal Programs. This role will work across the enterprise requiring collaboration with various key stakeholders including Legal, Risk, Compliance partners and business leaders. This Compliance leader will be expected to apply proper attention and engagement to compliance matters and oversee the escalation and resolution of any compliance risk management issues within or applicable to the assigned group/function, driving consistent processes for end-to-end assessment and management of specific regulatory compliance risks across the enterprise, enabling Wells Fargo to demonstrate compliance with applicable laws, rules, and regulations.

In this role, you will:

• Manage and lead team with the implementation of the companywide compliance program with high-risk complexity
• Manage and develop the execution and challenges on compliance related decisions
• Direct and oversee complex regulatory environments including establishing standards
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• Manage an aspect of the companywide compliance program for a business group or functional area with high regulatory risk and complexity, or oversee and monitor specific elements of the companywide compliance program
• Effectively engage and collaborate across all areas of the Compliance Program
• Develop and deliver high quality presentations to senior management, Audit and regulators
• Provide compliance risk and regulatory subject matter expertise for a defined set of compliance program elements
• Recommend opportunities for process improvement and risk control development
• Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics
• Lead team to achieve objectives
• Manage allocation of people and financial resources for Compliance
• Develop and guide a culture of talent development to meet business objectives and strategy
• Required Qualifications:
• 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 4+ years of Management experience

Desired Qualifications:

• Subject matter expertise in processes related to regulatory compliance risk management and a well-rounded knowledge of current compliance issues and challenges.
• Excellent communication skills, both verbal and written; and ability to communicate effectively across a variety of audiences and constituencies
• Experience generating impactful management reporting reflecting thoughtful organization and presentation of data, critical thinking and analysis of information, and a keen attention to detail/accuracy.
• Leadership skills and the ability to drive successful execution of strategic initiatives, including the ability to plan, prioritize and set goals; must possess a sense of urgency about exceeding the objectives of the role.
• Proven ability to successfully coordinate initiatives spanning across the firm and communicate with various levels of management.
• Demonstrated operational excellence, effective decision-making results orientation, and flexibility.
• Highly organized with the ability to manage processes and people, handle multiple tasks simultaneously and prioritize effectively.
• An impeccable reputation for integrity, accuracy, consistency, big picture orientation and business acumen.
• Experience leading enterprise-wide initiatives and large/complex projects preferred.

Job Expectations:

• Developing and managing business routines to ensure effective stakeholder engagement in solutions to drive consistent and effective execution of compliance program requirements.
• Defining and implementing compliance program expectations around the development of enterprise-level policies, procedures, training, metrics, and process maps for specific regulatory requirements.
• Developing and overseeing implementation of enterprise compliance policies for specific regulatory risks, including managing enterprise governance requirements to monitor adherence to compliance policies.
• Developing and implementing
• Developing and implementing compliance training and supporting business groups in documenting process maps to ensure appropriate business understanding of regulatory risks and related control requirements, including self-assurance activities required to monitor ongoing control performance.
• Developing and implementing enterprise metrics and key performance indicators to monitor program and/or policy execution and key risk indicators for regulatory compliance risks to enable effective oversight over regulatory compliance risks.
• Overseeing risk analysis and reporting to evaluate group performance and inform program enhancement opportunities.
• Developing and producing reporting to inform senior management and the board of directors, including an annual compliance plan and periodic state of compliance reporting.
• Overseeing compliance issue management, including enforcement actions, to ensure effective root cause analysis, development and timely implementation of effective corrective actions, sustained risk mitigation, and escalation of any gaps or delays as needed.
• Overseeing compliance training requirements and developing compliance training for the board of directors as needed.
• Managing relationships with primary supervisory regulators and supporting regulatory examinations.
• Overseeing effective resolution of customer remediations and ongoing execution of the customer remediation program consistent with regulatory commitments and expectations.