Senior Compliance Specialist, Employee Conduct

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:

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

Desired Qualifications:

• Certified Regulatory Compliance Manager (CRCM) certification or similar certified compliance/audit/legal credentials.
• Knowledge and understanding of Regulatory Risk and Compliance policies and programs.
• 1+ year of Risk Management experience.
• 1+ Year Financial services industry experience.
• 1+ Year experience maintaining or supporting Enterprise Policies.
• Strong analytical skills with high attention to detail and accuracy.
• Ability to articulate complex concepts in a clear manner.
• 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.
• Excellent verbal, written, and interpersonal communication skills.
• Advanced Microsoft Office skills

Wells Fargo is seeking a Senior Compliance Specialist in Corporate Risk as part of Conduct Risk Allegation Independent Monitoring Group (AIMG). This individual will be responsible for conducting monitoring activity of the front-line team, identifying, and escalating risk, and utilizing technical expertise to develop sampling methodology to expert relevant data for monitoring review. Compliance Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company’s values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line’s adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints. This Senior Compliance Specialist role is part of the Allegation Independent Monitoring Group (AIMG) that monitors and evaluates allegation management activities performed across the enterprise by Allegation Management Teams executing various lifecycles of the allegation process.
Learn more about the career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• 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.
• Provide oversight and monitoring of risk-based compliance programs.
• Develop and oversee standards.
• Provide subject matter expertise with comprehensive knowledge of business and functional area.
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area.
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
• Provide compliance risk expertise.
• Consult for projects and initiatives with moderate risk for a business line.
• Identify and recommend opportunities for process improvement and risk control development.
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
• Report findings and make recommendations to management appropriate committees.
• 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 risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.

Required Qualifications:

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

Desired Qualifications:

• Certified Regulatory Compliance Manager (CRCM) certification or similar certified compliance/audit/legal credentials.
• Knowledge and understanding of Regulatory Risk and Compliance policies and programs.
• 1+ year of Risk Management experience.
• 1+ Year Financial services industry experience.
• 1+ Year experience maintaining or supporting Enterprise Policies.
• Strong analytical skills with high attention to detail and accuracy.
• Ability to articulate complex concepts in a clear manner.
• 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.
• Excellent verbal, written, and interpersonal communication skills.
• Advanced Microsoft Office skills.

Job Expectations:

• This position is not eligible for Visa sponsorship.
• Ability to travel up to 10% of the time.
• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.