Lead Compliance Officer, Employee Conduct & Conflicts

at  Wells Fargo

7001 WESTOWN PKWY WEST DES MOINES, IA

• Job posting may come down early due to volume of applicants
• Required location(s) listed above. Relocation assistance is not available for this position

APPLICANTS WITH DISABILITIES

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

Required Qualifications:

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

Desired Qualifications:

• 2+ Years of monitoring and/or surveillance experience
• 2+ Financial services industry experience
• 1+ Year of experience maintaining or supporting Enterprise Policies
• 2+ years of monitoring, review, and/or surveillance activity
• 1+ Year of conflict risk management improvements experience
• Advanced Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Ability to articulate complex concepts in a clear manner
• Financial services industry experience, including 2+ years of monitoring, review, and/or surveillance activity
• Experience communicating in both written and verbal formats with Management
• Strong collaboration and partnering skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Experience driving and leading organizational change in a dynamic environment
• Ability to work across multiple lines of business leading large scale initiative

Wells Fargo is seeking a Lead Compliance Officer for our Employee Conduct and Conflicts team to focus on monitoring and review processes, as well as employee experience and risk management process improvements, related to employee conflicts of interest. Assist in the design and execution of the monitoring and reviews of business group risk based compliance programs. Learn more about the career areas and lines of business 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

Required Qualifications:

• 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 monitoring and/or surveillance experience
• 2+ Financial services industry experience
• 1+ Year of experience maintaining or supporting Enterprise Policies
• 2+ years of monitoring, review, and/or surveillance activity
• 1+ Year of conflict risk management improvements experience
• Advanced Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Ability to articulate complex concepts in a clear manner
• Financial services industry experience, including 2+ years of monitoring, review, and/or surveillance activity
• Experience communicating in both written and verbal formats with Management
• Strong collaboration and partnering skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Experience driving and leading organizational change in a dynamic environment
• Ability to work across multiple lines of business leading large scale initiatives

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• This position offers a hybrid work schedule
• Ability to travel up to 5% of the time
• 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.

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