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Job Description

Electronic Communications Program Officer

Job ID 5298287 Schedule Type Reg-Time Work Hours 40 Location Charlotte, North Carolina
Job Description

The Electronic Communications  Technology Officer  will manage  one or two team members to support the Wells Fargo Securities (“WFS”) Electronic Communications (Ecomms) program including, but not limited to automated regulatory controls for email, chat, social media and mobility policies and voice platform for the Broker-Dealer, Swap Dealer, Futures Commission Merchant (FCM), Corporate Banking Group (CBG) and Global Investment Banking (GIB) business lines. The role will be accountable for oversight/execution in collaboration with WFS Compliance, Enterprise Messaging, Wells Fargo Advisors (WFA), Enterprise Information Technology, The Law Department, and various other stakeholders within lines of business, support functions, and risk management groups. The candidate will be responsible for managing activities and people across a wide-range of audience and project types that are tied to:

  • FINRA 4510 (SEA 17a3 and 17a4)
  • FINRA 2210
  • FINRA 3110
  • MSRB G-9,
  • CFTC 17CFR-p23
  • NFA I-13-24
  • CFTC 17CFR-p31 and 35

This person must have working technology system development life cycle experience and assist in providing guidance on the rules for the program in conjunction with legal and compliance officers.

 

The Electronic Communications Compliance Officer must have experience in projects and systems development life cycle management (SDLC) including but not limited to evaluate system deficiencies and propose specific improvements, work with businesses and the Business Unit Compliance Officers (BUCOs) to create new system requirements and prioritizations, create roadmap planning, perform user training in its use, users of the system kept up to date with modifications and procedures.

 

The individual  should also have experience in:

  • Ensuring integrity of projects with respect to time, budget, scope, change and manage resources
  • Assess issues and work with technology to identify solutions to meet productivity, quality and goals
  • Perform end-to-end project management and demonstrate ownership of the entire process
  • Interact with senior leadership and major stakeholders to establish plans and objectives of system life cycle events and reporting on projects
  • Create and deliver presentation, including road maps to illustrate schedules and dependencies to senior management on system deficiencies, change control process, project and system enhancement, critical path, key issues/risks and dependencies
  • Facilitate meetings with the project teams and technology to drive forward progress and periodic meetings with BUCOs and key stakeholders to share statuses, changes and results

Has experience in communications archiving, supervision, protection of material non-public information, maintaining proper disclosures and disclaimers, and communications with the public requirements for broker dealers, the FCM and Swap Dealer, at a minimum.

 

This individual must have strong written and oral communication skills in order to collaborate with other lines of business in Wells Fargo and provide LOB regulatory requirements for enterprise communications initiatives. Additionally, the Compliance Officer will lead initiatives that span across the WFS entities with Business Unit Compliance Officers and business management as stakeholders. Must be able to identify high risks and prioritize their remediation.

Team members 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 and if 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.



Required Qualifications

  • 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both



Desired Qualifications

  • Ability to interact with all levels of an organization
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy



Other Desired Qualifications
  • Managed Systems Development Life Cycle (SDLC) methodologies and processes
  • Knowledge of the prescribed project methodology and deliverables; Six Sigma Black Belt preferred
  • Has worked with an analytics team that provides metrics where potential areas of improvements may be needed and recommend suggestions to management and implement an action plan
  • Understands and has created an issue management program with communication plans for stakeholders for systems management
  • Has managed a technology compliance program for Electronic Communications for Supervision and Monitoring Activities
  • Has experience in communications archiving, supervision, protection of material non-public information, maintaining proper disclosures and disclaimers
  • Previous experience in writing policies and procedures
  • Initiate action, generate creative solutions, achieve results and accept challenging assignments
  • Analyzed and communicated the laws, rules, regulations and regulatory guidance to business partners
  • Has organized and has the ability to engage in several projects at one time with business partners and technology
  • Strong verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy




Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

0069931 WHOLESALE BANKING

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