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CRG Compliance Specialist, Internal Review

Job Description

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking a Compliance Specialist who will work with the line of business to provide internal control and compliance risk expertise to identify, assess, and mitigate regulatory risk in the business activities, as well as providing recommendations to strengthen the business control environment. Learn more about the career areas and lines of business at wellsfargojobs.com.

Within Wells Fargo Compliance, and CRG Compliance, the Internal Review team supports components of the Compliance Program Policy related to identification, assessment, evaluation and reporting of Compliance risk.  The group is responsible and accountable for actively engaging in various stages of the Risk and Control Self Assessment (RCSA) process to provide oversight as required and provide credible challenge.  Maintenance of major requirement (MR) control data in the Wells Fargo Shared Risk Platform (SHRP) system ensures it meets all quality standards as required by the Firm, as well as testing of the Firm’s system of supervisory controls.  


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
  • Support the oversight or monitoring of a risk-based compliance program
  • Provide support in developing and overseeing standards with some business and functional knowledge
  • Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
  • Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
  • Support the 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 support in reporting findings and drafting recommendations to management
  • Support and implement initiatives with low to moderate risk
  • Interact with team to support risk oversight and monitoring
  • Manage and ensure accuracy of data
  • Troubleshoot system issues to determine root cause
  • Research and implement new regulatory rules and manage other Registration Team related projects
  • Identify and recommend opportunities for process improvement and risk control development
  • Establish and maintain effective relationships with various teams
  • 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
  • Interact with internal customers
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

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 CRF 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.


Required Qualifications, US:

  • 2+ 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 understanding of audit methodologies and tools that support audit processes 
  • Advanced degree (MBA) or certification (CPA, CIA, CFP, CFA);
  • Ability to interact with integrity and a high level of professionalism with all levels of team members
  • Knowledge and understanding of banking or financial services industry
  • Ability to evaluate risks and the impact of decisions on an overall organization
  • Strong organizational, multi-tasking, and prioritizing skills
  • FINRA registration including Series 7 (or FINRA recognized equivalents) or willing to obtain
  • Experience with Wells Fargo risk systems such as Shared Risk Platform (SHRP) and Risk and Control Self-Assessment (RCSA) or comparable external platforms
  • Experience with testing and validation


Job Expectations:

  • Willingness to work on-site at stated location on the job opening

Job posting may come down early due to volume of applicants

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, age, 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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