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Senior Compliance Specialist - Contract

  • Governance & Controls
  • Full time
  • R-228071

About this role:

Wells Fargo is seeking a Senior Compliance Specialist for 12 months contract in Toronto office. The role is to perform Risk and Control Self-Assessment (RCSA) duties, project management and management/regulatory reporting.

In this role, you will:

  • Advise on key regulatory risk, concerns, implications, and regulatory requirements with reference to the specific business activities in scope or to the country/ local jurisdictions and expectations from regulators. Business groups include Corporate and Investment Banking, Commercial Banking, and Enterprise Functions

  • Review and provide challenge to Front Line assessment on regulatory risk, alignment of major regulatory requirements and associated controls, legal entity specific inherent and residual risk assessment

  • Review information received from various teams to ensure accuracy and completeness

  • Coordinate / facilitate / lead meetings with different stakeholders, including front line teams, and providing support to Compliance Officers in executing the credible challenge review throughout the RCSA review period

  • Review Business Groups and Enterprise Functions' responses to Compliance challenge and assessing the resolution

  • Identify control gaps and providing oversight on remediation plan/ action plan

  • Assist in RCSA related remediation work and annual refresh review

  • Assist with the required preparation work to support the quality assurance review

  • Participate in RCSA Office Hours Calls & other relevant update sessions and communicating key developments to the team

  • Coordinate and support the oversight of RCSA activities performed by the team

  • Participate in regular working group meetings with other Independent Risk Management teams and the Front Line to provide Compliance update and drive discussion on engagement models

  • Oversee RCSA requests and responding in a timely manner

  • Perform data analytics, data validation and reconciliation to support management reporting and trend analysis as directed

  • Track the completion status of RCSA requests to ensure delivery within the required timeline

  • Provide management reporting for local/ regional governance


Required Qualifications:

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

  • Strong knowledge in Risk and Control Self-Assessment (RCSA)

Desired Qualifications:

  • Good understanding of regulatory compliance requirements and processes and demonstrated understanding of risk management policies and procedures

  • Knowledge of banking and/or financial Acts/regulations/guidelines and privacy legislation

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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