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Compliance Manager 4

Company: Wells Fargo Bank
Location: Charlotte
Posted on: December 5, 2019

Job Description:

Job Description
--Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. -- In order to receive text message invitations, your profile must include a mobile phone number designated as ------Personal Cell------ or ------Cellular------ in the contact information of your application.At Wells Fargo, we want to satisfy our customers------ financial needs and help them succeed financially. We------re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you------ll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.This Compliance Manager 4 role will work closely and in strong partnership with various teams, both domestic and international, including Wholesale Banking businesses, Wells Fargo Compliance colleagues, Wholesale Control Executives, the Legal Department, and other risk disciplines to implement policies, procedures, trainings, controls, monitoring and surveillance to mitigate risks. In addition, the role will provide guidance to the business in interpreting applicable regulations and providing advisory support on a transactional basis, as needed. In addition, the Compliance Manager 4 will serve as the firm------s Regulatory Source Owner for Federal Reserve Board Regulations K (International Operations), 12 CFR Part 24 Public Welfare Investments, Merchant Banking and Bank Holding Companies and Change in Bank Control-Regulation Y. -- The Compliance Manager 4 role may also support other regulatory projects or initiatives as needed including serving as a central point of contact for one or more Wholesale Banking businesses. -- Specifically, the role will:

  • Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies or regulatory matters.
  • Draft and manage the implementation and ongoing maintenance of applicable policies and standards.
  • Perform monitoring to promote compliance with regulatory requirements.
  • Oversee and administer the Regulatory Source Owner programs including Federal Reserve Board Regulations K (International Operations), OCC 12 CFR Part 24 Public Welfare Investments, and Bank Holding Companies and Change in Bank Control-Regulation Y pursuant to applicable Compliance Policy.
  • Monitor the firm------s private investments pursuant to the Bank Holding Company Act and coordinate position monitoring with the equity aggregation monitoring team.
  • Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business lines, legal entities, geographies, and jurisdictions; and escalate compliance issues to senior Compliance management.As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
    • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
    • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks. -- -- -- -- -- --

      Required Qualifications
      • 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 5+ years of management experience

        Desired Qualifications
        • Advanced Microsoft Office skills
        • Excellent verbal, written, and interpersonal communication skills
        • Strong analytical skills with high attention to detail and accuracy
        • Ability to articulate complex concepts in a clear manner

          Street Address
          GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
          NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
          SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
          TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
          CO-Denver: 1700 Lincoln St - Denver, CO
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          IA-Des Moines: 800 Walnut St - Des Moines, IA
          AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
          OR-Portland: 1300 Sw 5th Ave - Portland, OR


          All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

          Relevant military experience is considered for veterans and transitioning service men and women.
          Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Keywords: Wells Fargo Bank, Charlotte , Compliance Manager 4, Executive , Charlotte, North Carolina

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