Senior Lead Compliance Officer - Audit Response and SWAT

About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer to lead Audit Response and SWAT efforts as part of Corporate Compliance Regulatory Change and Inventory Management. Learn more about the career areas and lines of business at wellsfargojobs.com .

This role will be responsible executing Audit Response and SWAT (Specialized Work Action & Tactics) efforts to ensure that our regulatory changes are implemented by supporting the organization's operations and demonstrates adherence to regulatory requirements, while maintaining quality and control standards.

In this role, you will:

• Lead operational execution to ensure adherence with enterprise programs and internal policy and procedures.
• Lead end-to-end regulatory engagement management impacting Regulatory Change & Inventory Management, including, but not limited to, regulatory examinations, supervisory meetings, audit information requests, and responses to regulatory findings.
• Represent regulatory relations, in concert with business partners, before regulatory agencies on policy matters, responses, commitments, needs, and approach in adherence to policy and procedure.
• Coordinate and review submissions for completeness, accuracy and validate that artifacts support the explanation.
• Strategically engage with all levels of professionals and managers companywide and serve as an expert advisor to leadership, ensuring integrated approach for matters which cross functions or regulatory agencies.
• Lead implementation of specialized work action initiatives with moderate to high risk and complexity, for COO and their relevant partners in the lines of defense.
• Research internal and external regulatory environment to identify and report on themes, emerging trends, and risks, sharing insights with team and leadership to resolve concerns.
• Build relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics.
• Interpret policies, procedures, and compliance requirements.
• Interface with Internal Audit, Legal, external agencies, and regulatory bodies on regulatory inventory requirements.

Required Qualifications:

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

Desired Qualifications:

• 4+ years of regulator engagement experience
• Meaningful knowledge of Regulatory Change Management (Risk Management Framework, Compliance Program Policy) and internal risk systems such as RRCM platform, SHRP
• Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. regulators
• Experience providing reporting and updates to senior-level management
• Strong analytical skills with high attention to detail and accuracy
• Advanced understanding of legal and regulatory information for laws and rules globally applicable to Wells Fargo businesses

Executive Communication:

• Possess excellent verbal and written communication skills with the ability to collaborate with senior leaders across LOBs globally.
• Ability to deliver critical information to a range of audiences leveraging multiple communication methods, tools, and channels to effectively respond
• Develop and maintain relationships with Business Aligned Compliance leaders, Audit Managers, and Regulators

Job Expectations:

• Posting Locations:
  
  401 S Tryon Street, Charlotte, NC
  
  250 E John Carpenter Frwy, Irving, TX
  
  600 S 4th Street, Minneapolis, MN
  
  800 S Jordan Creek Pkwy, West Des Moines, IA
  
  114 N Beaumont Street, Saint Louis, MO
• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.
• Required location(s) listed above. Relocation assistance is not available for this position.
• This position is not eligible for Visa sponsorship.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$144,400.00 - $300,000.00
Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:
3 Dec 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.

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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.