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Lead Compliance Advisor

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 join the Marketing Compliance Team within the Consumer Lending Compliance Division. This role is essential in ensuring adherence to regulatory standards and corporate policies.

Key Responsibilities:
  • Develop, implement, and uphold risk management standards and initiatives to ensure compliance with applicable federal, state, and regulatory requirements.
  • Act as the primary oversight mechanism for regulatory compliance in marketing materials, in line with the Corporate Marketing and Advertising Policy.
  • Evaluate, scrutinize, and provide constructive feedback on the approval process for marketing and business documents, including advertising content, customer communications, scripts, targeted campaigns, disclosures, and other related materials.
  • Contribute significantly to minimizing risks associated with promotional materials through thorough reviews of marketing and business content.
  • Conduct evaluations in accordance with the Marketing and Advertising Policy and other relevant compliance risk frameworks.
  • Manage the intake, processing, and documentation of marketing and business material reviews through various workflow tools.
  • Ensure timely completion of review requests in compliance with established protocols.
  • Support the management of marketing disclosures within the eDAM Disclosure Repository, submitting necessary updates and ensuring their application to relevant materials.
  • Supervise the execution of compliance-related decisions by the Front Line and provide appropriate challenges.
  • Offer expert knowledge and insights into business and functional areas.
  • Collaborate with complex business units on compliance matters of moderate risk.
  • Receive guidance from leadership while exercising independent judgment to comprehend functions, policies, procedures, and compliance requirements.
Required Qualifications:
  • A minimum of 4 years of experience in Compliance or equivalent demonstrated through a combination of work experience, training, military experience, or education.
Preferred Qualifications:
  • Experience in risk management and regulatory compliance.
  • Understanding of lending policies, regulations, and compliance.
  • Active Certified Regulatory Compliance Manager (CRCM) designation.
  • Experience in interpreting and applying state, federal, and agency legal and regulatory compliance requirements specific to Consumer Lending.
  • Comprehensive knowledge of relevant laws, regulations, and enterprise policies related to marketing and business materials for unsecured credit products.
Job Expectations:

Location: This position offers a hybrid work schedule. Relocation assistance is not available for this position.

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, status as a protected veteran, or any other status protected by applicable law.

Compliance and Risk Management:

Employees are expected to support our commitment to building strong customer relationships while maintaining a robust risk management and compliance culture. They are accountable for executing all applicable risk programs and adhering to Wells Fargo policies and procedures.