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Compliance Specialist

  • Governance & Controls
  • Full time
  • R-372380
  • Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
  • 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 of third-party requirements and challenge compliance related decisions.
  • Provide oversight and monitoring of risk-based compliance programs.
  • Provide subject matter expertise with comprehensive knowledge of business and functional area for applicable third-party engagements.
  • Provide compliance risk expertise and consulting for projects and initiatives with compliance risk for a business line or functional area.
  • Monitor 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.
  • Identify and recommend opportunities for process improvement and risk control development.
  • Report compliance and operational findings and make recommendations.
  • 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 moderate risk compliance matters
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.

Desired Qualifications:

  • 1+ year of control identification or risk experience
  • Exposure to Third Party Risk Information Management System (TRIMS) or System for Third Party Risk Management (STORM) and Wells Fargo’s Shared Risk Platform (SHRP) or Veritas
  • Extensive knowledge of risk-based regulatory compliance including the industry and laws and regulations that apply to areas of responsibility.
  • Knowledge and understanding of consumer lending regulations.
  • Strong operational skills and experience executing on implementation of complex initiatives.
  • Strong skills in coordinating across many business lines and working in an environment with multiple systems and processes.
  • Active Certified Regulatory Compliance Manager (CRCM) designation

Job Expectations:

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

Posting End Date: 

23 Jun 2024

*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, 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 Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

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