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Lead Compliance Officer

About this role:

Wells Fargo is seeking a Lead Compliance Officer...Control Evaluation

Wells Fargo is seeking a Lead Compliance Officer to join Wealth and Investment Management (WIM) Compliance reporting to the Head of WIM Shared Services Compliance.  This opportunity is to serve as the WIM Compliance program governance leader responsible for driving and overseeing group-level policy implementation, execution, reporting and analysis, oversight, and program management responsibilities associated with targeted Wells Fargo Compliance Program Policy elements, including RCSA/Control Evaluation, Evidenced Based Control Evaluations (EBCE), Self Assurance activities (SAA), Risk Appetite and Risk Measurement, and other critical Risk Assessment activities, as assigned.  This position may also provide support for the execution of other WIM Compliance program activities as well as execute various projects.  The candidate will work horizontally with representatives from Wells Fargo Compliance, WIM Compliance, and the WIM Control function in the fulfillment of ongoing responsibilities.  This position is expected to provide Senior Level compliance and project management leadership associated with assigned Corporate Policies, which can be highly visible compliance initiatives broadly impacting the WIM Compliance.
 

In this role, you will:

  • Provide oversight and monitoring of risk-based compliance programs specific to RCSA, EBCE, SAA, Risk Appetite/Risk Measurement, and others as defined. 
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple WIM business lines and WIM Compliance teams.
  • 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 compliance risk
  • Report findings and make recommendations to management and appropriate forums
  • 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
  • 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


Required Qualifications, US:

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


Desired Qualifications:

  • Ability to interact with all levels of the organization
  • Excellent verbal, written, and interpersonal communication skills
  • Leadership skills including the ability to influence effectively in a matrix environment
  • Ability to develop partnerships and collaborate with other business and functional areas
  • Ability to take initiative and work independently with minimal supervision in a structured environment


Job Expectations:

  • Strong understanding and familiarity with applicable Wells Fargo Corporate Policies associated with the position, such as the Risk Management Framework, the Compliance Program Policy, the Risk and Control Self Assessment Policy, associated RCSA Playbook, and Wells Fargo Compliance RCSA Procedures, Internal Controls Policy, and the Self Assurance Policy.    
  • Foundational knowledge of the Wealth and Investment Management business.
  • Successful at developing reports, conducting analysis, producing presentations, as well as presenting to senior leadership.
  • Strong ability to multi-task and properly prioritize work loads.
  • Experience in policy implementation or project management, including the development of overall project objectives, deliverables, and strategies; identification of dependencies; and maintenance of ongoing documentation supporting project status, including core risks and obstacles.
  • Familiarity with the SHRP system, such as the Governance Management module, RCSA support tools, such as SNOW, Internal Controls System, Major Compliance Requirements/Obligations, and Major Requirement Evaluations. 

We Value Diversity

At 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, or status as a protected veteran.

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.


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