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Senior Compliance Specialist

2 months ago

Tempe, 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.

In this role, you will:
  • 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.
Required Qualifications:
  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired 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.
Posting End Date:
5 Sep 2024
*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment 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 support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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