Compliance Specialist, Global Compliance Ethics Pre-Clearance

About this role:

Wells Fargo is seeking a Compliance Specialist for the Global Compliance Ethics Pre-clearance ("GCEP") Team and related program within the Enterprise Compliance Operations ("ECO") group in Corporate Risk. GCEP is an IRM function responsible for assessing, analyzing, and responding to employee disclosures, requests, and inquiries in accordance with Wells Fargo's Code of Ethics and Business Conduct, Conflicts of Interest and Outside Activities, Gifts and Entertainment Policies and adherence to FINRA and CFTC regulatory requirements for the Enterprise and impacted employees. GCEP is responsible for following and adhering to established pre-clearance requirements outlined in the relevant Enterprise Conduct Risk policies and regulatory disclosure requirements and other relevant policies during the assessment and final disposition, mitigating reputational and regulatory risk for the enterprise.

Enterprise Compliance Operations ("ECO") is a team comprised of eight underlying teams which are highly operational in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Control Group, Personal Account Dealing Team, Equity Aggregation Team, Securities Registration and Licensing Teams, Political Law Pre-clearance and Reporting, Lobbyist Management, Ethics Pre-clearance, and Global Pre-clearance Teams. These compliance operations teams cover all the firms' lines of business and corporate functions globally as they relate to the underlying team responsibilities.

In this role, you will:

• Provide support to the GCEP team with Global Pre-Clearance System ("GPS") request submission workflow by facilitating the intake/triage process of pre-clearance requests from the GPS system within SLA timelines
• Interpret policy and work with various partners to review, assess and decision time sensitive gift and entertainment pre-clearance related matters and certain outside activities, while assessing for actual, potential, and perceived conflicts of interest and risk
• Daily manage the GCEP mailbox, including responding to inquiries related to pre-clearance and disclosure matters from employees, partners groups, business lines, and others, identifying non-pre-clearance related matters and referring them to the appropriate resource/group for resolution within SLA timelines, etc.
• Track and log GCEP email volumes and identify trends. Manage and ensure accuracy of data. Escalate matters, as appropriate
• Generate regular reporting for the GCEP team from the GPS system and other systems on GPS submissions, trends, volumes, etc.
• Support Global Compliance Ethics Pre-clearance leadership on pre-clearance program matters related to process, risk tolerance and mitigation, projects and initiatives, including team meetings and daily roundtables
• Collaborate with peers and colleagues on various projects and initiatives related to pre-clearance, policies, and GPS
• Provide advice, counsel and interpretation of Conflicts of Interest and Outside Activities and Gifts and Entertainment Policies and other line of business policies to employees, management and partners as needed
• Assist in developing pre-clearance related training and communications that are effective in domestic and international business environments
• Work in a team environment, with a high volume of work, where multi-tasking with high attention to details is constant and required
• Support and assist the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
• Identify and recommend opportunities for process improvement and risk control development
• Interpret policies, procedures, and compliance requirements

Required Qualifications, US:

2 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 prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint)
• Knowledge and understanding of regulatory compliance requirements surrounding financial services, such as Management Interlocks.
• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles, such as FINRA and CFTC
• Ability to interpret policies, apply to situations and draw conclusions
• Ability to gather, organize, and interpret data
• Ability to develop partnerships and collaborate with other business and functional areas
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• Willingness to travel up to 10%

Posting Locations:

• Charlotte, NC
• St. Louis, MO
• Minneapolis, MN
• West Des Moines, IA
• Tempe, AZ
• Irving, TX

Preferred location(s) listed above.

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, age, 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.