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About this role:

Wells Fargo is seeking a Senior Compliance Specialist.

In this role, you will:

• 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

• Provide oversight and monitoring of risk-based compliance programs

• Develop and oversee standards

• Provide subject matter expertise with comprehensive knowledge of business and functional area

• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area

• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management

• Provide direction to the business on developing corrective action plans and effectively managing regulatory change

• Provide compliance risk expertise

• Consult for projects and initiatives with moderate risk for a business line

• Identify and recommend opportunities for process improvement and risk control development

• Provide direction to the business on developing corrective action plans and effectively managing regulatory change

• Report findings and make recommendations to management appropriate committees

• 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 risk compliance matters

• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

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

Desired Qualifications:

• Ability to take initiative and work independently with minimal supervision in a structured environment to prioritize work, meet deadlines, achieve goals, and work under time constraints

• Ability to evaluate risks and the impact of decisions on an overall organization

• Deep knowledge of and ability to use data

• Strong analytical skills with high attention to detail and accuracy

• Experience and proficiency in Alteryx, PowerBI, and/or SQL; SAS or Python proficiency preferred

• Ability to identify and manage complex issues and negotiate solutions

• Ability to interact with integrity and a high level of professionalism with all levels of an organization

• Proven Supervisory and or Brokerage Compliance experience

• FINRA Series 9/10 or 24 or equivalent experience

Job Expectations:

• Work with the WIM Compliance leaders and other partners to implement WIM Compliance data analytics and Surveillance capability enhancements

• Utilize data analytics and reporting capabilities to identify new, changing, and emerging compliance risk

• Identify and recommend opportunities for process improvement and risk control development

• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management

• Report findings and make recommendations to Compliance 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 risk compliance matters

• Oversee the Front Line's execution and challenge compliance related decisions as needed

• Review client account activity and escalate observations to Compliance Management as needed

• Provide oversight and monitoring of front-line supervision routines

• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Posting End Date:

27 Feb 2025

*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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

Req Number: R-435123