About this role:

Wells Fargo is seeking a Senior Compliance Specialist for the Outside Activities Compliance Review (“OAC”) Team and related program within the Enterprise Compliance Operations (“ECO”) group in Corporate Risk.). OAC is an Independent Risk Management function responsible for Assessing, Analyzing, and responding to employee disclosures, requests and inquiries in accordance with Wells Fargo’s Code of Ethics and Business Conduct, Conflicts of Interest and Outside Activities, Gifts and Entertainment Policies and adherence to FINRA and CFTC regulatory requirements for the Enterprise and impacted employees.

OAC is responsible for following and adhering to established pre-clearance requirements outlined in the relevant Enterprise Conduct Risk policies and regulatory disclosure requirements and other relevant policies during the assessment and final disposition, mitigating conflict of interest, reputational and regulatory risk for the enterprise.

About the Enterprise Compliance Operations Team:

Enterprise Compliance Operations (“ECO”) is a team comprised teams which are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Control Group, Personal Account Dealing Team, Equity Aggregation Team, Securities Registration and Licensing Teams, Political Law Pre-clearance and Reporting, and Outside Activities Compliance Review, and clearance Teams. These compliance operations teams cover all the firms’ lines of business and corporate functions globally as they relate to the underlying team responsibilities.

In this role, you will:

• Interpret policies, procedures, and compliance requirements and work with various partners as needed to review and decision pre-clearance related matters, while assessing for actual, potential and perceived conflicts of interest and risk related to team member outside activities, gifts and entertainment exchanged between Wells Fargo and external parties and gifts exchanged between employees.
• Analyze and respond to employee pre-clearance requests and inquiries in accordance with the Conflicts of Interest and Outside Activities, and Gifts and Entertainment Policies and other related line of business policies utilizing the Global Preclearance System (GPS)
• Handle complex reviews such as Municipal Solicitor, political contributions of covered employees and Private Securities Transactions in accordance with enterprise and line of business policy requirements.
• 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
• Provide support in developing and overseeing standards with some business and functional knowledge
• Support the reporting, escalation and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
• Provide advice, counsel and interpretation of Conflicts of Interest and Outside Activities and Gifts and Entertainment Policies and related line of business policies to employees, management and partners as needed.
• Collaborate with peers and colleagues on various projects and initiatives related to pre-clearance, policies and GPS
• Assist in developing pre-clearance related training and/or communications that are effective in domestic and international business environments.
• 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 requirement.

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:

• Experience in ethics, operational risk or other functions that involve policy application, interpretation and consultation
• Ability to develop partnerships and collaborate with other business and functional areas
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to take on a high level of responsibility, initiative, and accountability
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Excellent verbal, written, and interpersonal communication skills
• Strong critical thinking & analytical skills with high attention to detail and accuracy

Posting End Date:

*Job posting may come down early due to volume of applicants.

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.