During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.
At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.
The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.
The Community Banking Compliance team is responsible for performing independent compliance risk management activities and oversight for Community Banking lines of business, including branch activities. The team partners with front line organizations, legal, corporate risk oversight functions as well as compliance program teams to ensure appropriate compliance program integration of laws, rules, regulations, and applicable regulatory guidance.
The Business Aligned Compliance Team (part of overall Community Banking Compliance) is seeking a Compliance Senior Associate to implement and execute compliance risk management processes according to the Compliance Program Policy. This team is responsible for providing regulatory compliance oversight for the Community Banking line of business, to include the retail presence and associated strategic and support areas. This Compliance Senior Associate will leverage his or her expertise of retail banking and consumer protection related laws, rules, regulations and agency guidance to drive compliance risk management processes. Responsibilities include compliance advisory activities, monitoring/oversight, issues management, risk assessment, and credible challenge of business implementation of compliance programs and requirements and other regulatory compliance oversight activities as assigned.
Specific duties for this position include, but are not limited to:
- Work with the front line business control teams on the development and documentation of controls to satisfy regulatory or compliance policy requirements and mitigate risk
- Evaluate the adequacy and effectiveness of front line policies, procedures, processes, systems and internal controls as they relate to regulatory compliance.
- Consult with front line businesses to develop corrective action plans and effectively manage change to ensure regulatory compliance.
- Ensure consistent oversight and participation in new business initiatives including risk reviews, credible challenge and recommendations
- Work with Third Party Risk Management program teams and engagement managers in evaluating risk associated with third party outsourcing engagements and manage expectations for addressing ongoing compliance requirements and assurance or testing requirements
- Identify training opportunities to include the design/coordination and development of the businesses compliance training materials, assignment audience, and completion monitoring of training.
- Report findings and develop business cases to influence senior management on the need for controls to mitigate risk.
- Ensure consistent implementation and execution of regulatory requirements and policy requirements
- Identify and escalate emerging risks to management and risk partners as appropriate.
- Collaborate with relevant lines of business, legal and risk partners to document concerns and propose solutions.
- Develop and maintain effective relationships within the front line control executive teams and independent risk management partners
- Confers with the legal department, lines of business partners, control executive partners and compliance partners including testing and validation along with other risk partners as necessary to ensure appropriate and effective risk management activities are in place for assigned business units.
Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.
5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management
An active Certified Regulatory Compliance Manager (CRCM) designation
Ability to influence, partner, and negotiate with senior business leaders to gain commitment to accomplish business goals
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Strong organizational, multi-tasking, and prioritizing skills
Third party service provider risk experience
Other Desired Qualifications
- Experience with Community Banking and/or Regional Banking
- Experience identifying and assessing regulatory compliance risk for large complex financial institutions
- Demonstrated experience implementing compliance programs that support adherence to financial services regulations and/or prudential regulatory guidance
- Experience communicating with financial services regulators and or internal audit
- Ability to integrate end-to-end business process knowledge and assessment into oversight activities
- Proven experience in all aspects of executing a new policy, process and methodology or significant enhancement of same in a significantly complex environment
- Oversight and engagement with business to map their processes
- Ability to provide credible challenge
- Experience with deposit regulations
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All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.