Expert Compliance Consultant

1 week ago

Tempe, Arizona, United States WELLS FARGO BANK Full time

Position Overview:


Wells Fargo is looking for a Senior Compliance Specialist to support a Director in the Consumer Lending Shared Services (CLSS) Compliance team. This role will focus on assisting with Complaints Management and governance functions within the CLSS Compliance area.


Key Responsibilities:

  • Develop, implement, and uphold risk standards and programs to ensure adherence to federal, state, agency, legal, regulatory, and Corporate Policy requirements.
  • Supervise the Front Line's execution and appropriately challenge compliance-related decisions.
  • Serve as the primary contact for Consumer Lending Compliance Complaints.
  • Collaborate closely with Consumer Lending Business Aligned Compliance Officers, Complaints Oversight, and frontline teams on all matters related to complaints.
  • Provide updates on complaints analysis and related topics to the Complaints Oversight team, senior management, and the business line.
  • Conduct in-depth analyses on specific complaints topics to offer insights to senior management.
  • Oversee and monitor risk-based compliance programs.
  • Establish and maintain compliance standards.
  • Offer subject matter expertise with a thorough understanding of the business and functional areas.
  • Provide compliance risk expertise and consultation for projects and initiatives with moderate risk.
  • Monitor reporting, escalation, and timely resolution of compliance risk management issues.
  • Collaborate with an offshore team to generate monthly and quarterly reports.
  • Guide the business in developing corrective action plans and managing regulatory changes effectively.
  • Lead initiatives within Consumer Lending Compliance to enhance processes related to complaints and drive efficiencies.
  • Identify and propose opportunities for process improvements and risk control enhancements.
  • Report findings and recommendations to management and relevant committees.
  • Interpret policies, procedures, and compliance requirements.
  • Work collaboratively with peers, colleagues, and managers to resolve issues and achieve objectives.
  • Participate in key meetings related to complaints.
  • Navigate complex business units and regulations concerning moderate risk compliance matters.
  • Receive guidance from leadership while exercising independent judgment to develop a comprehensive understanding of functions, policies, procedures, and compliance requirements.

Qualifications:

  • Minimum of 4 years of experience in Compliance or equivalent experience through work, training, military service, or education.

Preferred Qualifications:

  • Experience with Complaints Management.
  • Previous Compliance experience in the Lending sector.
  • Strong communication, collaboration, and partnership skills.
  • Proficiency in Excel and PowerPoint for reporting purposes.
  • Ability to improve processes and introduce efficiencies.
  • Familiarity with governance functions and experience in policy and procedure documentation.

Work Environment:

This position offers a hybrid work schedule. Relocation assistance is not available for this position. Visa sponsorship is not available for this role.

Diversity and Inclusion:

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, or any other status protected by applicable law.

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