REQUIRED QUALIFICATIONS, US:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

DESIRED QUALIFICATIONS:

• 2+ years of experience covering complaints, allegations, customer remediation and/or conduct topics.
• 2+ years of risk management experience within financial services industry, and familiar with framework and procedures for monitoring activities and risk appetite measurement executed by Risk Type and Business Aligned Oversight teams, designed to comply with the operational risk monitoring requirements of the Independent Monitoring, Testing, and Validation Policy, Operational Risk Program Policy, and Compliance Program Policy
• Excellent verbal, written, and interpersonal communication skills
• 2+ years of experience working with Broker Dealers, and associated regulators (e.g., investment banking, financial markets, Broker-Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and securitization)
• 2+ years of experience in or with the Front Line in defining and executing supervisor responsibilities
• Experience with change management, for example implementing a new regulation, policy, framework
• 2+ years of experience working within Compliance program infrastructure including regulatory requirements and associated risk management policy, procedures, and risk ratings
• Advanced analytical skills including use of Microsoft excel.
• Advanced skills using PowerPoint and creating presentations.
• Ability to collaborate with Compliance program owners, business and support partners, and other teammates to solve business problems
• Knowledge of generating, analyzing, and escalating key risk and performance indicators to drive process enhancements and strategic decision making

APPLICANTS WITH DISABILITIES

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

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

ABOUT THIS ROLE:

Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB Compliance. The Lead Compliance Officer will be responsible for managing topics across regions and asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be the CIB subject matter expert (SME), point of contact for the Front Line, and liaise with enterprise functions. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework. Learn more about the career areas and business divisions at wellsfargojobs.com.

IN THIS ROLE, YOU WILL:

• Provide oversight and monitoring of business group risk based compliance programs
• Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
• 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
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management and appropriate committees
• Identify and recommend opportunities for process improvement and risk control development
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• 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