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Posted : Tuesday, June 18, 2024 07:42 PM
About this role:
Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate Risk as part of Corporate and Investment Banking (CIB) Compliance.
Learn more about the career areas and business divisions at wellsfargojobs.
com .
This Senior Lead Compliance Officer will be an individual contributor responsible for evaluating results of all horizontal Front Line Risk Assessments to ensure Compliance's approach of Review and Challenge is consistent across risk programs and for the risks identified, to escalate and report to the CIB Chief Compliance Officer.
In this role, you will: Provide oversight and governance of a business group or manage companywide compliance programs 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 Develop, oversee, and provide independent credible challenge to standards with subject matter expertise Work with complex business units, rules, and regulations on moderate to high risk compliance matters Monitor and independently challenge the 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 Direct and oversee the execution of horizontal compliance program elements within CIB Compliance globally including Front Line Risk Assessments Provide feedback and challenge to various enterprise compliance risk assessments; contribute to CIB and Enterprise compliance risk reporting Develop, oversee, and provide expert business and regulatory compliance functional knowledge Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines Partner with Wells Fargo India Compliance to implement and maintain a compliance engagement model in support of CIB's global delivery activities Identify and recommend opportunities for process improvement and risk control development Report findings and make recommendations to management or directors and 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 to high risk compliance matters Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics Required Qualifications, US: 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience supporting or directing global initiatives and programs Experience preparing and communicating executive summaries and related presentation materials in a clear and influential manner Proficient-level knowledge of the securities, derivatives, and banking regulatory regimes including the SEC/FINRA, CFTC/NFA, OCC, FRB, and associated compliance programs FINRA registration including Series 7 or Series 14 (or FINRA recognized equivalents) Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results Job Expectations: Willingness to work on-site at stated location on the job opening 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 $144,400.
00 - $300,000.
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: 29 Mar 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.
Learn more about the career areas and business divisions at wellsfargojobs.
com .
This Senior Lead Compliance Officer will be an individual contributor responsible for evaluating results of all horizontal Front Line Risk Assessments to ensure Compliance's approach of Review and Challenge is consistent across risk programs and for the risks identified, to escalate and report to the CIB Chief Compliance Officer.
In this role, you will: Provide oversight and governance of a business group or manage companywide compliance programs 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 Develop, oversee, and provide independent credible challenge to standards with subject matter expertise Work with complex business units, rules, and regulations on moderate to high risk compliance matters Monitor and independently challenge the 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 Direct and oversee the execution of horizontal compliance program elements within CIB Compliance globally including Front Line Risk Assessments Provide feedback and challenge to various enterprise compliance risk assessments; contribute to CIB and Enterprise compliance risk reporting Develop, oversee, and provide expert business and regulatory compliance functional knowledge Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines Partner with Wells Fargo India Compliance to implement and maintain a compliance engagement model in support of CIB's global delivery activities Identify and recommend opportunities for process improvement and risk control development Report findings and make recommendations to management or directors and 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 to high risk compliance matters Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics Required Qualifications, US: 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience supporting or directing global initiatives and programs Experience preparing and communicating executive summaries and related presentation materials in a clear and influential manner Proficient-level knowledge of the securities, derivatives, and banking regulatory regimes including the SEC/FINRA, CFTC/NFA, OCC, FRB, and associated compliance programs FINRA registration including Series 7 or Series 14 (or FINRA recognized equivalents) Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results Job Expectations: Willingness to work on-site at stated location on the job opening 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 $144,400.
00 - $300,000.
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: 29 Mar 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.
• Phone : NA
• Location : Charlotte, NC
• Post ID: 9136605049
