About this role:
Wells Fargo is seeking a Lead Compliance Officer for the Wealth and Investment Management (WIM) Banking, Lending & Trust (BL&T) Compliance team providing coverage of Deposit products. Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Implement, facilitate, and monitor risk standards and programs to drive compliance with federal, state, and agency regulations and legal requirements, as well as Corporate Policy requirements

• Work with and support assigned business units and provide compliance risk expertise and consulting for projects and initiatives to identify and mitigate regulatory risk in business activities

• Support operational excellence efforts and product enablement activities related to banking products with a focus on deposit products, offered in WIM by Wells Fargo Bank NA and Wells Fargo Clearing Services LLC

• Support efforts to execute strategic objectives including Compliance Monitoring, RCSA engagements, technology change and review of new business initiatives

• Provide direction to the business on developing corrective action plans and effectively managing regulatory change

• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

Desired Qualifications:

• 4+ years of bank deposit, credit card and/or brokerage product compliance or other risk management experience

• Experience designing and implementing risk mitigation strategies and controls

• Strong Analytical skills, critical thinking with problem solving competency

• Ability to redesign processes and enhance solutions through identifying process improvements and/or technical solutions

• Experience collaborating and building relationships across multiple stakeholders and business groups

• Demonstrated ability to build and maintain strong relationships with key stakeholder groups

• Ability to interact with all levels of an organization

• Effective communication and presentation skills for varying levels of information

• Previous audit, compliance or regulator experience

• Certified Internal Auditor (CIA) or Certified Regulatory Compliance Manager (CRCM)

Job Expectations:

• This position offers a hybrid work schedule in the following locations:

• 401 S Tryon Street, Charlotte, NC 28202; 600 S 4th Street, Minneapolis, MN 55415; 800 S Jordan Creek Pkwy, West Des Moines, IA 50266; 1150 W Washington St, Tempe, AZ 85288; 1445 Ross Ave, Dallas, TX 75202; 114 N Beaumont St Bldg D
  SAINT LOUIS, MO 63103

• Relocation assistance is not available for this position

• This position is not eligible for Visa sponsorship

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

*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.

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.