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Posted : Sunday, November 12, 2023 01:38 PM
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.
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.
• Phone : NA
• Location : St. Louis, MO
• Post ID: 9078563612
