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Senior AVP - Compliance

  • Governance & Controls
  • Full time
  • R-352967

About this role:

Wells Fargo is seeking a Senior Compliance Specialist in Responsible Banking as part of Wells Fargo Compliance.  Learn more about the career areas and lines of business at wellsfargojobs.com. This role will support assessments of products, services and processes across the enterprise for UDAAP risk. Within Compliance, the UDAAP Risk Assessment team is responsible for performing UDAAP assessments of products, services, and processes across the enterprise as part of a risk-based, independent, enterprise wide UDAAP assessment program to ensure compliance with federal and state UDAAP / UDAP standards.

In this role, you will:

  • Review policies, procedures, data and other internal documentation for specific information
  • Use various data sources to populate product and process information in an internal application
  • Determine where further information is required to understand products and processes
  • Collaborate and consult with peers, colleagues and managers to achieve goals
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand products, processes, procedures, and compliance requirements
  • Collaborate with peers and answer questions related to products and processes
  • Identify incomplete information and seek alternative information and data sources

Required Qualifications:

  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

Desired Qualifications:

  • Experience with UDAAP principles
  • BS/BA degree or higher
  • Demonstrated knowledge of consumer financial law regulations, particularly UDAAP/UDAP
  • Operational risk & compliance knowledge with experience assessing risk
  • Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast-paced environment
  • Ability to assess and communicate issues, implement solutions, and influence change within deadlines.
  • Excellent verbal, written, and interpersonal communication skills.
  • Strong analytical skills with high attention to detail and accuracy.
  • Team player with the ability to integrate into a constantly changing environment.
  • Self-starter and demonstrated ability to work with minimal supervision, adapt and adjust to changing work priorities and to multitask.
  • Ability to develop partnerships and collaborate with other business and functional areas.
  • Ability to manage conflict and provide credible challenge to leaders when necessary.
  • Ability to exercise independent judgment and creative problem solving.
  • Proficiency in Office Suite (Excel, Word, PowerPoint, Outlook) and SharePoint
  • Experience in a testing or audit function

Posting End Date: 

16 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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