About this role:Wells Fargo is seeking a Wells Fargo is seeking a Senior Compliance Specialist within the Compliance Program organization. This role will provide enterprise Compliance expertise and oversight, working closely with various partners across all business-aligned Compliance teams and the Independent Risk Management organization. This role will have programmatic responsibilities relating to the Risk and Control Self-Assessment (RCSA), Self-Assurance Activities (SAA), and New Business Initiatives (NBI) programs.
Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:- Provide support and oversight of compliance execution of RCSA, SAA and NBI activities
- Provide Compliance risk expertise and support of integrated risk programs 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
- Develop, oversee, and provide independent challenge to standards with subject matter expertise
- Report findings and make recommendations to management
- Identify and recommend opportunities for process improvement and 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
- 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 compliance matters
- Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
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:- Experience in design and execution of Risk and Control Self-Assessments (RCSA) or similar risk evaluation processes
- Knowledge and understanding of Regulatory Risk and Compliance policies and programs
- Experience using the Shared Risk Platform (SHRP) or Archer to enter and extract information and reporting
- Understanding of process controls, to include control design and or execution
- Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, Teams, and SharePoint) skills
- Clear and concise written and oral communication skills
- Strong attention to detail and a sharp focus on eliminating errors
- Strong analytical skills
- Excellent interpersonal skills, including conflict resolution
- Process testing experience (Audit, Quality Assurance, or Enterprise Independent Testing)
- Six Sigma or similar process improvement experience
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
Job Expectations:- Ability to travel up to 15% of the time.
- This position offers a hybrid work schedule.
- Willingness to work onsite at stated location on the job posting.
- 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 End Date: 26 Dec 2024
*Job posting may come down early due to volume of applicants. We Value DiversityAt Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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.
