Senior Compliance Specialist

4 weeks ago

Tempe, United States WELLS FARGO BANK Full time
About this role:
Wells Fargo is seeking a Senior Compliance Specialist to assist a Director in Consumer Lending Shared Services (CLSS) Compliance to provide support in the Complaints Management work as well as support governance functions within the CLSS Compliance space.

In this role, you will:

• 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

• Act as the Point of Contact for Consumer lending Compliance Complaints work

• Work closely with Consumer Lending Business Aligned Compliance Officers, Complaints Oversight and the frontline on all complaints related matters

• Provide status on complaints analysis output as well as on all topics related to Complaints to the Complaints Oversight team, senior management and the line of business

• Perform ad-hoc deep dive on specific complaints topics to provide insights to senior management
• Provide oversight and monitoring of risk-based compliance programs
• Develop and oversee standards
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management

• Work with an offshore team to provide monthly / quarterly reporting
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide compliance risk expertise

• Lead projects within Consumer Lending Compliance to improve Complaints related processes that drive efficiencies
• Consult for projects and initiatives with moderate risk for a business line
• Identify and recommend opportunities for process improvement and risk control development
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management appropriate committees
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Lead and participate in key Complaints related meetings
• Work with complex business units, rules and regulations on moderate risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications, US:
• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Prior experience working with Complaints
• Prior Compliance experience in the Lending Space
• Strong partnership, communication and collaboration skills
• Proficiency with excel and PowerPoint to support monthly / quarterly reporting requirements
• Process mindset and ability to improve and introduce efficiencies
• Prior experience with governance functions and experience with policies, procedures, hosting and documenting meeting outcomes

Job Expectations:

Posting Location:

• Charlotte, NC

• St. Louis, MO

• Minneapolis, MN

• West Des Moines, IA

• Irving, TX

• Tempe, AZ

This position offers a hybrid work schedule

Required location(s) listed above. Relocation assistance is not available for this position.

This position is not eligible for Visa sponsorship

Posting End Date:
18 Aug 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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