Senior Compliance Officer

1 week ago

Tempe, Arizona, United States WELLS FARGO BANK Full time
About this Role:

Wells Fargo is seeking a Senior Compliance Specialist to join the Home Lending Compliance team. The Senior Compliance Specialist will provide compliance oversight, monitoring, and challenge to Home Lending Servicing related areas. The Senior Compliance Specialist will work directly with business, independent risk management, enterprise testing, and audit partners, as well as complete core expectations of a mature Compliance Program including issues management, risk assessment, monitoring, and reporting. This role may also participate in special projects supporting the compliance team. As this role oversees Home Lending activities, working knowledge and proficiency in Home Lending products, services, and regulatory requirements are required.

Key Responsibilities:
  • Provide oversight and monitoring of business group risk-based compliance programs.
  • 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.
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
  • 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
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
  • 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.
Requirements:
  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Preferred Qualifications:
  • Working knowledge and expertise with mortgage lending regulations including TILA/TRID, FDPA, ECOA, FDCPA, and RESPA.
  • Experience with mortgage business processes, including sales, originations, marketing, servicing, foreclosure, and loss mitigation.
  • Experience executing and supporting risk management and compliance risk programs.
  • Experience managing engagements with regulators and auditors.
  • Understanding of banking risk and control systems and issue management processes.
  • Ability to communicate complex concepts in a clear, simplified manner to executive leadership and law department partners.
  • An active or willingness to obtain Certified Regulatory Compliance Manager (CRCM) designation.

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