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Senior Regulatory Compliance Analyst

2 months ago

Tempe, Arizona, United States WELLS FARGO BANK Full time

About this position:


Wells Fargo is looking for a Senior Compliance Specialist to support a Director in the Consumer Lending Shared Services (CLSS) Compliance team, focusing on the Complaints Management function and governance responsibilities 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 mandates.
  • 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 complaint-related issues.
  • 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 manage compliance standards.
  • Offer subject matter expertise with extensive knowledge of business and functional areas.
  • Provide compliance risk guidance and consulting for projects and initiatives with moderate risk for a business line or functional area.
  • Monitor reporting, escalation, and timely resolution of compliance risk management issues, deficiencies, or regulatory matters.
  • Collaborate with an offshore team to deliver 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 complaint-related processes for improved efficiency.
  • Identify and propose opportunities for process enhancement and risk control development.
  • Report findings and make recommendations to management and relevant committees.
  • Interpret policies, procedures, and compliance requirements.
  • Collaborate with peers, colleagues, and managers to resolve issues and achieve objectives.
  • Lead and engage in significant complaint-related meetings.
  • Navigate complex business units, rules, and regulations concerning moderate risk compliance matters.
  • Receive guidance from leaders while exercising independent judgment to understand functions, policies, procedures, and compliance requirements.

Required Qualifications:

  • A minimum of 4 years of Compliance experience, or equivalent demonstrated through a combination of work experience, training, military experience, or education.

Preferred Qualifications:

  • Previous experience in handling complaints.
  • Compliance experience within the Lending sector.
  • Strong collaboration, communication, and partnership skills.
  • Proficiency in Excel and PowerPoint for supporting reporting requirements.
  • A process-oriented mindset with the ability to enhance and introduce efficiencies.
  • Experience with governance functions, policies, procedures, and documenting meeting outcomes.

Work Environment:

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

Diversity and Inclusion:

At Wells Fargo, we value diversity, equity, and inclusion in the workplace and welcome applications from all qualified candidates, regardless of various protected characteristics. Employees are expected to support our commitment to building strong customer relationships while maintaining a robust risk management and compliance culture.