Job Posting for Compliance Director at Wells Fargo

About this role:

Wells Fargo is seeking a Compliance Director in Corporate Risk as part of Compliance Program Strategy, Planning & Governance (CP SPG). Learn more about the career areas and business divisions at wellsfargojobs.com . This Compliance Director will serve as the Head of Compliance Reporting, Regulatory Change, and ENGIn Execution (CRRCE). This role will support Wells Fargo globally overseeing the regulatory change lifecycle from identification through implementation. This role will partner closely with other aspects of the risk management framework including risk assessments, monitoring, and testing.

In this role, you will:

Manage and lead a team focused on Regulatory Change and the implementation of the companywide compliance program with high-risk complexity
Direct and oversee complex regulatory environments including establishing standards
Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management
Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity or oversee and monitor specific elements of the companywide compliance program
Manage and develop the execution and challenges on compliance related decisions
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Recommend opportunities for process improvement and risk control development
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics
Lead team to achieve objectives
Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications, US:

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

Desired Qualifications:

4 years of experience interpreting and applying U.S. regulatory compliance requirements surrounding the financial services industry
Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. regulators
Extensive experience designing and executing compliance programs, including regulatory change management, risk identification and risk and control self-assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting
Outstanding analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas or issues into well-defined solutions with a track-record for delivering results
Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork
Proven ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision making
Proven ability to build and lead high-performing teams, ensuring proper staffing and expertise, and manage the establishment of major policies and relevant compliance programs within a large and complex organization
A Juris Doctor (JD) degree or Certified Regulatory Compliance Manager (CRCM) designation

Job Expectations:

Ability to travel up to 10% of the time
This position offers a hybrid work schedule
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
$173,300.00 - $359,900.00
Benefits

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

401(k) Plan
Paid Time Off
Parental Leave
Critical Caregiving Leave
Discounts and Savings
Health Benefits
Commuter Benefits
Tuition Reimbursement
Scholarships for dependent children
Adoption Reimbursement

Posting End Date:
12 Feb 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.

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