About this role
Wells Fargo is seeking a Compliance Manager
In this role, you will
- Lead a team of Compliance Specialists, Senior Compliance Specialists, and Lead Compliance Officers responsible for executing compliance reviews on applicable consumer facing third parties and communicate findings to appropriate lines of business, IRM partners, and stakeholders. Ensure SLA adherence specific to review milestones challenge past due SLAs and validate documented rationale, ensure timely follow-up, and resolution.
- Drive improved review quality through utilization of QA data and other quality measurements provide coaching/feedback to team members individually and at the team level.
- Complete Manager Review including review of final reports. Provide guidance, review support, and direction to Compliance Specialists, Senior Compliance Specialists, and Lead Compliance Officers.
- Provide recommendations on improving the effectiveness and efficiency of the review process utilize Change Management process accordingly and provide Program Team with feedback specific to program enhancements impacting the review.
- Perform any of the duties of Compliance Specialists, Senior Compliance Specialist, and Lead Compliance Officer as required to conduct any level of the review requirements, as needed.
- Serve as a SME for the larger review team for consumer facing third party activities, including associated regulatory risks and related internal processes.
- Review and provide challenge of regulatory risks identified in completed reviews.
- Identify consumer financial law impacts and opportunities to reduce regulatory compliance risk in partnership with the lines of business representatives and IRM partners.
- Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Lines execution and challenges appropriately on compliance related decisions
- 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 enterprise compliance program
- Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
- Provide compliance risk and regulatory expertise for compliance program elements
- Recommend opportunities for process improvement and risk control development
- Manage coordination and communication with leadership regarding compliance risks
- Implement strategic initiatives with moderate risk and complexity
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Collaborate and influence all levels of professionals including managers
- Lead team to achieve objectives
- Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
- Manage allocation of people and financial resources for Compliance
- Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications
- 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following work experience, training, military experience, education
- 2+ years of Leadership experience
Required Qualifications
- Experience in Compliance, or equivalent demonstrated through one or a combination of the following work experience, training, military experience, education
Desired Qualifications
- Active Certified Regulatory Compliance Manager (CRCM) designation
- BS/BA degree or higher
- Exposure to Third Party Risk Information Management System (TRIMS) or System for Third Party Risk Management (STORM) and Wells Fargo's Shared Risk Platform (SHRP) or Veritas
- Demonstrated knowledge of consumer financial law regulations and/or third-party risk management
- Operational risk & compliance knowledge with experience assessing risk and the adequacy of policies, procedures, processes, and controls.
- Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast-paced environment
- Ability to assess and communicate issues, implement solutions, and influence change within deadlines.
- Ability to interact with all levels of an organization.
- Experience leading a team in a matrixed environment.
- Excellent verbal, written, and interpersonal communication skills.
- Experience writing and communicating issues to business partners, such as in an audit or testing environment.
- Strong analytical skills with high attention to detail and accuracy
- Team player with the ability to integrate into a constantly changing environment.
- Self-starter and demonstrated ability to work with minimal supervision, adapt and adjust to changing work priorities and to multitask.
- Ability to develop partnerships and collaborate with other business and functional areas.
- Ability to manage conflict and provide credible challenge to leaders when necessary.
- Ability to exercise independent judgment and creative problem solving.
- Proficiency in Office Suite (Excel, Word, PowerPoint, Outlook) and SharePoint
Job Expectations
- Willingness to work on-site at stated location on the job opening.
Posting End Date
*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 USAll 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
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our