Lead Compliance Analyst

2 weeks ago

Irving, Texas, United States WELLS FARGO BANK Full time
About this position:
Wells Fargo is seeking a Senior Compliance Specialist within the Corporate Risk division to enhance the Consumer and Small Business Banking Program and Governance team. In this capacity, the Senior Compliance Specialist will oversee the management of compliance issues pertinent to CSBB. Discover more about our career paths and business sectors.

Key Responsibilities:
  • Supervise the documentation, escalation, and prompt resolution of compliance issues, deficiencies, or regulatory concerns related to CSBB compliance risks.
  • Manage the execution of issue management review and challenge requirements by compliance officers aligned with the business.
  • Engage with intricate business units, regulations, and guidelines on compliance matters of moderate to high risk.
  • Collaborate with Audit, Legal, and external agencies on risk-related subjects.
  • Analyze policies, procedures, and compliance mandates.
  • Offer compliance risk expertise and advisory support for projects and initiatives with moderate risk for a specific business line or functional area.
  • Guide the business in formulating corrective action plans and adeptly managing regulatory changes.
  • Consult on projects and initiatives with moderate risk for a business line.
  • Identify and propose enhancements for process improvement and risk control development.
  • Generate reports for management committees.
  • Work collaboratively with peers, colleagues, and managers to address issues and meet objectives.
  • Receive guidance from leadership while exercising independent judgment to develop a comprehensive understanding of functions, policies, procedures, and compliance requirements.

    Essential Qualifications:
  • 4+ years of experience in Compliance or equivalent demonstrated through a combination of work experience, training, military experience, or education.

    Preferred Qualifications:
  • Proficiency in issue management and root cause analysis.
  • Familiarity with systems such as SHRP, Veritas, Tableau, and MicroStrategy.
  • Demonstrated experience with compliance programs that ensure adherence to financial services regulations and/or prudential regulatory guidance.
  • Experience in leading or significantly contributing to projects or initiatives.
  • Strong organizational skills, capable of reviewing information and presenting it logically.
  • Excellent presentation skills, adept at creating PowerPoint presentations with varying levels of detail.
  • Strong analytical abilities with a keen attention to detail and accuracy.
  • Highly skilled in utilizing Microsoft Office Suite: Word, PowerPoint, Excel.
  • Ability to collaborate and consult with colleagues and managers to resolve challenges and achieve objectives.
Job Expectations:

Locations:
  • Hybrid work schedule available.
  • Relocation assistance is not provided for this position.
  • This position is not eligible for Visa sponsorship.
Diversity Commitment:
Wells Fargo values diversity, equity, and inclusion in the workplace. We welcome applications 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 are responsible for executing all applicable risk programs, which include adhering to Wells Fargo policies and procedures, fulfilling risk and compliance obligations, and making informed risk decisions. Emphasis is placed on proactive monitoring, governance, risk identification, and escalation, ensuring alignment with the business unit's risk appetite and compliance program requirements.

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