Senior Compliance Specialist

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, education

DESIRED QUALIFICATIONS:

• Knowledge and experience with Credit Risk (Consumer and Commercial) business processes
• Compliance, Operational, or Enterprise Risk program execution or program management experience
• Experience supporting Risk and Control Self-Assessment (RCSA) work
• Experience interpreting and applying state, federal, and agency legal and regulatory compliance requirements specific to credit risk (commercial credit workout) e.g., SCRA, Reg B, ADA
• Expertise in running reports for systems of record (SHRP, CARAT, ENCORE, VERITAS, etc.)
• Experience performing credible challenge
• Subject matter expert in key Compliance policies, procedures, and governing documents including Compliance Program Policy, Complaints Management Policy, and Compliance Monitoring Procedure
• Experience presenting and preparing presentations and other materials for executive management, senior leaders, board members, and regulators
• Strong analytical skills with high attention to detail and accuracy
• Flexibility and ability to prioritize and manage change
• Communication, collaboration, and relationship building are required, as this role will work horizontally across the Compliance organization, as well as with and across many other parts of the company
• Exceptional Excel skills

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 Senior Compliance Specialist as part of the Corporate Risk Compliance team providing coverage for Credit Risk and Corporate Risks’ Compliance Program requirements. Learn more about the career areas and lines of business at wellsfargojobs.com . This role, as part of Independent Risk Management, will support execution of the Compliance Program Framework and drives the business to compliance with federal, state, agency, legal, and regulatory and/or Corporate Policy requirements.

IN THIS ROLE, YOU WILL:

• Execute Compliance Program requirements inclusive of third-party risk management, issue management, compliance risk assessments, control evaluation, initiative management compliance training and awareness, regulatory change, metrics, and reporting.
• Support RCSA workshop activities (e.g., identification of Major Requirements) and complete BAU compliance deliverables for teammates who are in RCSA workshops
• Interpret policies, procedures, and compliance requirements
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• Provide oversight and monitoring of risk-based compliance programs
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• 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
• 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