About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team, the Senior Lead Compliance Officer will lead several critical tasks required to support the development and maintenance of Wells Fargo’s regulatory inventory, as well as the management and implementation of regulatory changes.

In this role, you will:

• Use innovative thinking to critically challenge existing processes, controls, roles and responsibilities, and procedures for maintaining the regulatory inventory and managing regulatory change.
• Create synergies with collaborative business partnerships to drive efficient results which support the broader goal of simplifying the regulatory change and inventory management process and operations.
• Support implementation of the regulatory inventory product by providing consultative guidance to impacted stakeholders.
• 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 across multiple business lines.
• Identify, develop, and implement process improvement opportunities and control development.
• Create and develop enhancement roadmap or outline of pain points for prioritizing and escalating development needs for third-party vendor tool.
• Influence technical solutions to support regulatory change and inventory management applications and maintenance enhancements.
• Determine how downstream Wells Fargo applications (RRCM, SHRP) can improve integration with third-party vendor tool.
• Improve processes/workflows between third-party vendor tool and internal applications to increase efficiencies.
• Serve as subject matter expert for third party vendor tool to leverage platform knowledge to enhance compliance processes.
• Point person for testing and validating enhancements to third party vendor modules.
• Inform internal Wells Fargo Compliance groups of third-party vendor tool enhancements and how to integrate new features into workflows.
• Develop and deliver trainings to impacted Wells Fargo stakeholders on the use of the various modules within the third-party vendor tool.
• Manage third-party vendor tool data remediation and timely resolutions.
• Identify, timely escalate and resolve issues.
• Provide oversight on the quality of third-party vendor tool deliverables to ensure they meet internal Wells Fargo expectations.
• Monitor and assess how third-party vendor tool enhancements align with Wells Fargo’s internal framework, processes and target state, providing feedback and identifying desired functionalities.

Required Qualifications:

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

Desired Qualifications:

• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses.
• Ability to organize and manage multiple priorities, and prioritize work, meet deadlines, and achieve goals in a dynamic and complex environment.
• Demonstrated capacity to analyze risks, identify problems, and create solutions proactively and independently.
• Advanced certification, degree, or educational credentials.
• Solid problem solving and analytical skills with high attention to detail and accuracy.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives.

Job Expectations:

Locations:

• 401 S Tryon Street, Charlotte, NC
• 250 E John Carpenter Frwy, Irving, TX
• 600 S 4th Street, Minneapolis, MN
• 800 S Jordan Creek Pkwy, West Des Moines, IA
• 114 N Beaumont Street, Saint Louis, MO
• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.
• Required location(s) listed above. Relocation assistance is not available for this position.
• 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.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

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.

Posting End Date:

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

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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.

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.