Lead Compliance Officer, Regulatory Librarian

at  Wells Fargo

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

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

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:

• Juris doctorate preferred.
• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses.
• 5+ years of experience in reviewing laws and regulations and preparing written analysis and memoranda for attorneys, business leaders, and impacted stakeholders.
• Solid problem solving and analytical skills with high attention to detail and accuracy.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to effectively organize and prioritize work while handling multiple deliverables.
• Ability to work effectively in a complex environment with a high degree of collaboration

Wells Fargo is seeking a Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. Learn more about the career areas and lines of business at wellsfargojobs.com . As part of the RCIM team, the Lead Compliance Officer will lead several critical tasks required to support the development and maintenance of Wells Fargo’s regulatory inventory, as well as the management and implementation of regulatory changes.

In this role, you will:

• Manage an inventory of regulatory citations for the compliance regulatory change management program element.
• Review change alerts and complete impact assessments to determine if a regulatory change affects the regulatory inventory.
• Add and revise Major Compliance Requirements (MCRs) within the compliance system of record; inclusive of when changes are triggered by regulatory change or other events.
• Partner with the Legal Department on drafting MCR summaries leveraged by partners in Compliance, the Legal Department and front-line.
• Consult with Business Aligned Compliance Officers (BACOs) when updating the regulatory inventory.
• Review third-party dashboards and reports to classify changes and assess impact.
• Maintain required fields in the compliance system of record, inclusive of the foundational components.
• Leverage compliance technology systems to perform daily tasks.
• Manage the process for aligning risk assessable units to MCRs within SHRP.
• Populate and conform citations for inclusion in the citation grid for use by Enterprise Testing and Validation.
• Provide support and guidance to Compliance Officers in regards to all aspects of the regulatory change management process.
• Maintain scope documents for the Compliance teams, documenting periodic updates needed to their business rules in the regulatory change system of record and coordinating the system updates.
• Participate in audit reviews and provide concise written responses to requests.
• 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:

• Juris doctorate preferred.
• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses.
• 5+ years of experience in reviewing laws and regulations and preparing written analysis and memoranda for attorneys, business leaders, and impacted stakeholders.
• Solid problem solving and analytical skills with high attention to detail and accuracy.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to effectively organize and prioritize work while handling multiple deliverables.
• Ability to work effectively in a complex environment with a high degree of collaboration.

Job Expectations:

• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.
• 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.

Posting Locations:
401 S Tryon Street, Charlotte, NC
250 E John Carpenter Frwy, Irving, TX
600 S 4th Street, Minneapolis, MN
800 S Jordan Creek Pkwy, West Des Moines, IA
114 N Beaumont Street, Saint Louis, MO
Job posting may come down early due to volume of applicants