Senior Compliance Specialist - Policy and Procedure

About this role:

Wells Fargo is seeking a Senior Compliance Specialist in Wells Fargo Compliance as part of the Compliance Policy Team. Learn more about the career areas and lines of business at wellsfargojobs.com.

This Senior Compliance Specialist will draft, finalize and publish Compliance policies and procedures, evaluate and assess adherence to policy requirements, collaborate across Wells Fargo Compliance and provide other compliance risk management activities across the enterprise.

In this role, you will:

• Draft and finalize Compliance policy and procedure content, particularly supporting broker-dealer policies, and working across key Compliance partners and subject matter experts following documented processes

• Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs

• Engage with the Enterprise Policy Office and senior compliance leadership in executing policy reviews and obtaining necessary approvals for Compliance policies and procedures

• Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs

• Develop, oversee, and provide independent challenge to policy content with subject matter expertise

• Facilitate the identification of needed education or awareness to support policy implementation across the firm

• Support Compliance policy implementation and ongoing monitoring for adherence

• Identify and recommend opportunities for process improvement and risk control development

• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

• Analyze and challenge regulatory and compliance activities in a complex organization.

• Partner, support, review and prepare compliance information and materials related to audit and regulatory requests.

• Build strong partnerships and collaborate effectively across front-line, independent risk management and key stakeholders

• Perform or assist with ad hoc assignments/projects

• Support ongoing governance over Compliance policies and procedures

• Be a champion of change and a force in developing the Compliance capabilities and culture required to properly provide compliance oversight and control for Wells Fargo

Required Qualifications:

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

Desired Qualifications:

• An active Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) designation or a legal degree (JD, LLM)

• Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry, particularly the securities industry

• Excellent policy and procedure drafting skills, adhering to grammar rules, content requirements and style guidelines, with the ability to synthesize complex content into simplified requirements

• Strong analytical and critical thinking, with high attention to detail and accuracy

• Ability to effectively engage across all levels of the organization, communicate crisply to facilitate shared understanding across multiple stakeholders to drive to efficient execution of complex regulatory requirements and associated compliance activities

• Ability to provide criticism and challenge, while exercising sound judgment and professionalism, to address a broad spectrum of risk issues

• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Job Expectations:

• Ability to travel up to 15% of the time.

• This position offers a hybrid work schedule.

• Willingness to work onsite at stated location on the job posting.

• 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.

Job posting Locations:

• Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC

• 600 Wells Fargo, Minneapolis, 600 S 4th St, MINNEAPOLIS, MN

• John Carpenter Freeway, 250 E John Carpenter Frwy, IRVING, TX

• West Des Moines Campus, 800 S Jordan Creek Pkwy, WEST DES MOINES, IA

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$84,000.00 - $149,400.00

Posting End Date:

17 Feb 2025

*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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.