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Lead Compliance Officer

4 months ago

Tempe, United States Wells Fargo Full time

**About this role**:
**In this role, you will**:

- Conduct Business Aligned Compliance Officer (BACO) responsibilities including engagement in Risk and Control Self-Assessment Activities (RCSA)
- Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
- 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 direction to the business on developing corrective action plans and effectively managing regulatory change
- Report findings and make recommendations to management and appropriate committees
- 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
- Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Work with complex business units, rules and regulations on moderate to high risk compliance matters
- Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

**Required Qualifications**:

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

**Desired Qualifications**:

- Privacy compliance experience
- Risk and Control Self-Assessment (RCSA) Program experience
- Demonstrated technology risk, information security risk and business resiliency risk experience
- Knowledge and understanding of domestic and international laws applicable to financial institutions technology, information security and business resilience functions
- Ability to draft materials for senior management in a clear and concise manner in written form which will require strong PowerPoint and ability to consult and influence through these skills
- Ability to adapt to changing and competing priorities in a continually evolving area of risk
- Self-motivated, detail oriented, and organized with the ability to successfully work on several unrelated projects at the same time
- Ability to independently provide credible challenge, while exercising sound judgment and professionalism, in order to address a broad spectrum of risk issues
- Proven ability to influence without authority, cultivate relationships, and collaborate with multiple stakeholders, including business leaders, legal, and audit

**Job Expectations**:

- Ability to travel up to 5% of the time
- This position offers a hybrid work schedule
- This position is not eligible for VISA sponsorship

**Posting End Date**:
21 Jun 2024

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

**We Value Diversity**

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**

**Drug and Alcohol Policy**

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.