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Job Title: Lead Compliance Officer, Finance Compliance
Location: Irving, TX
Position Type: Full Time
Post Date: 10/01/2022
Expire Date: 12/08/2022
Job Categories: Accounting/Auditing, Banking, Consulting Services, Finance/Economics, Financial Services, Human Resources, Legal, Military, Executive Management, Research & Development
Job Description
Lead Compliance Officer, Finance Compliance

About this role:

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Finance Compliance. Learn more about the career areas and lines of business at wellsfargojobs.com. This is a key role in delivering consistent execution of the Compliance Risk Management program across the enterprise.  Individual will be leading and directing work that supports regulatory commitments, including Risk and Control Self-Assessment (RCSA), Compliance Aggregated Risk Assessment (CARA), Program Effectiveness and ensuring all program policies and requirements are met, consistently, across Finance, but will interact with other Lines of Business (LOBs), including Wealth Investment Management (WIM), Corporate and Investment Banking (CIB), and Home Lending, as needed. This role will deal directly with the Finance and Control teams.

In this role you will:

  • Review and assess regulatory changes impacting Finance processes and activities 

  • 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 challenge appropriately on compliance related decisions

  • Provide direction to the business on developing corrective action plans and effectively managing issue remediation

  • 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

  • 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 Qualification(s):

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

Desired Qualification(s):

  • Financial services industry experience, specifically focused on Finance processes and activities

  • Experience monitoring and advising on compliance of complex regulations within the financial industry

  • Experience in Compliance Program monitoring including the ability to identify process gaps, recommend controls and report on progress to risk management and business leaders

  • Ability to interact with all levels of an organization including senior management

  • Experience preparing and presenting materials for stakeholders and senior management

  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

  • Excellent verbal, written, and interpersonal communication skills

  • Solid analytical skills with high attention to detail and accuracy

  • Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Job Expectations:

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

Posting Location:

  • Charlotte, NC

  • Dallas, TX

  • Minneapolis, MN

  • West Des Moines, IA

  • Tempe, AZ

  • St. Louis, MO

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees.

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, 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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