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Lead Compliance Officer (SQL, Tableau Reporting)

  • Governance & Controls
  • Full time
  • R-383512

About this role:

Wells Fargo is seeking a Lead Compliance Officer for the Consumer Lending Compliance Insights team (Techno – Functional role). This team is responsible for providing dashboards and analytics to the Business Aligned Compliance Officers (BACOs) and leadership team. 

This Lead Compliance Officer will be responsible for creating dashboards and analytics using SQL/SAS, Tableau and Power BI.

Specific areas of support are the monitoring program, analysis and trending of Key Risk Indicators (KRIs) & supporting metrics, Major Requirement Evaluations (MREs), Controls, Issues and Corrective Actions.

In this role, you will:

  • Lead the strategy and resolution of complex challenges related to business execution that require solid analytical skills, understanding of business, delivering longer term and large scale solutions
  • Own the execution of deep-dive analyses to find meaningful patterns, root cause and/or answer complex business questions to drive business decisions
  • Present findings to senior leadership and process owners to inform and influence business strategy and direction
  • May assist in the technical build-out and/or support of databases, query tools, reporting/BI tools and collaboration tools etc. that enable analysis, modeling, and/or data visualization
  • May manage project teams
  • Work as technical expert in delivering high quality analysis, reports, and insights
  • Lead team meetings to facilitate decision making and support implementation of recommendations and plans
  • Strategically engage with all levels of professionals and managers across multiple lines of businesses and serve as an experienced advisor to the leadership
  • Manage or participate on large cross group projects and potentially mentor less experienced staff
  • Collaborate and consult with business partners, peers, colleagues, external contractors, and managers to resolve issues and achieve goals
  • Support Consumer Lending regulatory and/or risk requirements
  • Provide oversight and monitoring of business group risk based compliance programs
  • Maintain compliance risk expertise and consulting for projects 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
  • 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 regulatory change
  • Report findings and make recommendations to management and appropriate committees
  • 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
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions
  • 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 moderate to high risk compliance matters
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications:

  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 4+ years of demonstrated /hands-on analytics experience.
  • 4+ years of experience manipulating data and creating analytical scripts using SQL.
  • 3+ years of Tableau dashboard development experience

Desired Qualifications:

  • 2+ years of Power App experience
  • 2+ years of Compliance and/or Risk experience
  • Ability to evaluate risks and the impact of decisions on an overall organization
  • Ability to identify and evaluate exposures and potential risks
  • Knowledge and understanding of SharePoint and Power Apps
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to exercise independent judgment and creative problem-solving techniques
  • Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
  • Ability to translate complex technical needs into straightforward requests for information and collaboration, working with a wide range of people
  • Familiarity with formal project and change management processes, particularly Agile and similar methodologies
  • Professional presentation skills

Job Expectations:

  • Develop Data Driven Compliance Monitoring (DDCM) program to execute on using system of record data to drive compliance insights with increase scope, precision, and efficiency
  • Produce performance trending and triggers based on team KRIs and DDCM outcomes that can drive leaderships insight into business performance and risks
  • Build and support Tableau/PowerApps for our greater team

Posting End Date: 

24 Jul 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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