Lead Compliance Officer

at  Wells Fargo

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:

• Expert knowledge of the Federal and state regulations applicable to investment company products and alternative investments
• Expert knowledge of investment company products and alternative investments
• Excellent verbal, written, and interpersonal communication skills
• Experience translating and presenting complex information in a manner that educates, enhances understanding and influences decisions
• Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals
• FINRA registration including Series 6 or 7 and 63 (or FINRA recognized equivalents

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Product and Advisory Services Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com . As the Lead Compliance Officer, you will provide compliance leadership and guidance to the Investment Solutions Center of Excellence.

In this role, you will:

• Provide leadership and guidance to Wealth Investment Management products teams on various regulatory and policy requirements covering applicable products
• Perform assessment and challenge the control environment covering investments products and alternative investments
• 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:

• Expert knowledge of the Federal and state regulations applicable to investment company products and alternative investments
• Expert knowledge of investment company products and alternative investments
• Excellent verbal, written, and interpersonal communication skills
• Experience translating and presenting complex information in a manner that educates, enhances understanding and influences decisions
• Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals
• FINRA registration including Series 6 or 7 and 63 (or FINRA recognized equivalents)

Job Expectations:

• Ability to travel up to 5% of the time
• 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.