Senior Compliance Specialist
Wells Fargo
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
- Good understanding in risk tracker, pull report Analytical l, risk analytics
- 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, US:
- 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Required Qualifications, International:
- Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- Advanced Microsoft Office skills
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical skills with high attention to detail and accuracy
- Ability to articulate complex concepts in a clear manner
- Financial services industry experience
- Experience communicating in both written and verbal formats with Management
- Strong collaboration and partnering skills
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Experience driving and leading organizational change in a dynamic environment
- Ability to work across multiple lines of business leading large scale initiatives
- Experience maintaining or supporting Enterprise Policies
- Certified Risk Compliance Manager (CRCM)
- Certified Enterprise Risk Professional (CERP)
- Certificate in Operational Risk Management (ABA)
- Certified Risk And Compliance Management Professional (CRCMP)
- Certified Fraud Examiner (CFE)
- Certificate In Risk Management (CRMA)
- Certified Compliance & Ethics Professional (CCEP)
- Certified Risk Professional Program (CRP)
Job Expectations:
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The Senior Compliance Specialist role will focus on creating and developing a risk topic tracking function which will streamline and simplify Conduct Risk’s existing data collection and eliminate content request redundancies.
In addition, the role will be responsible for identifying various aggregation channels, creating/maintaining a single conduit for collection of risk topics, and providing a collected output that could be synthesized and filtered further to identify allegations, Sales Practices, and Conflicts of Interest themes, trends, and other Conduct Risk related risks - Ability to travel up to 5% of the time
- Willingness to work on-site at stated location on the job opening
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.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.