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Compliance Manager 3

Company: Wells Fargo
Location: Charlotte
Posted on: October 13, 2019

Job Description:

Job Description
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.Wells Fargo Compliance is the company's Compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.The Enterprise Functions Compliance team is responsible for performing independent compliance risk management activities that drive certain Enterprise Functions regulatory compliance risk management activities. The team partners with corporate risk oversight functions, line of business, as well as compliance program teams to ensure appropriate compliance program integration of certain laws, rules, regulations, and applicable regulatory guidance that define risk management activities outside of regulatory compliance.Specific Job Responsibilities Include:

  • Provide direction and guidance to Line of Business and the control executive team regarding applicable laws, rules, regulations, enterprise standards and compliance-related best practices.
  • Provide oversight of the Enterprise Control Activity groups (Accounting Reporting and Tax; and Data Management and Insights) to identify areas of compliance risk and communicate to Enterprise Functions Compliance leadership.
  • Provide and support Compliance program coverage for compliance requirements not covered by the Enterprise Control activity for the applicable Line of Business.
  • Assist in key enterprise and compliance program elements, including compliance risk assessments, establishment and implementation of Compliance policies, procedures and standards, delivery of compliance training and awareness, metrics and reporting.
  • Establish processes to provide effective and timely implementation of regulatory change requirements.
  • Complete evaluations of new and existing major requirements and oversee annual compliance aggregated risk assessment.
  • Manage and track compliance issues specific to Enterprise Control Activity group coverage.
  • Implement periodic metrics and reporting to track the state of compliance.
  • Foster an environment that supports strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance and other corporate stakeholders to facilitate transparency, balance and credible challenge.
  • 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
      • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 3+ years of management experience

        Desired Qualifications
        • A BS/BA degree or higher
        • Ability to interact with all levels of an organization
        • Ability to articulate complex concepts in a clear manner
        • Advanced Microsoft Office skills
        • Excellent verbal, written, and interpersonal communication skills
        • Strong analytical skills with high attention to detail and accuracy

          Other Desired Qualifications
          • Proven experience in all aspects of executing a new policy, process and methodology or significant enhancement of same in a significantly complex environment.
          • Understanding of enterprise regulatory requirements & guidance applicable to systemically important financial institutions (SIFIs)
          • Ability to effectively identify and articulate risks, issues and associated root causes
          • Ability to respond quickly to changing job demands
          • Demonstrated ability to work independently, while ensuring appropriate transparency and escalation
          • Experience with conducting risk assessments, assessing the adequacy of policies, procedures, processes, and compliance and operational controls in a significantly large and complex organization
          • Proven experience in multiple areas of Regulatory Compliance program implementation
          • Proven experience managing staff of 3 individuals or more
          • Experience with policy review, analysis and implementation
          • Prior experience supporting Regulatory Compliance programs in a large financial institution
          • Demonstrated experience interacting with, providing reporting to and supporting senior and executive level leaders
          • Experience with overseeing projects/work flow across a global institution
          • Experience with US and International Regulatory Reporting processes
          • Specific experience with implementing oversight and governance of BCBS 239

            Street Address
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            NC-Charlotte: 301 S College St - Charlotte, NC


            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, Charlotte , Compliance Manager 3, Executive , Charlotte, North Carolina

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