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Lead Compliance Officer

Company: Wells Fargo
Location: Tempe
Posted on: June 20, 2022

Job Description:

Job Posting Title: Lead Compliance Officer Job Description Summary: Covers jobs responsible for establishing, implementing, and maintaining risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory and/or Corporate Policy requirements.Job DescriptionAt Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.About this role:Wells Fargo is seeking a Lead Compliance Officer on the Commercial Capital Business Aligned Compliance Team (BACO) as part of Commercial Banking Regulatory Compliance. Learn more about the career areas and lines of business at wellsfargojobs.com. Particular focus will be on our Capital Management businesses that make strategic equity investments and investments in the renewable energy sector. -In this role, you will:Provide oversight and monitoring of business group risk based compliance programsMaintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business linesEstablish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirementsOversee the Front Line's execution and challenges appropriately on compliance related decisionsDevelop, oversee, and provide independent credible challenge to standards with subject matter expertiseProvide direction to the business on developing corrective action plans and effectively managing regulatory changeReport findings and make recommendations to management and appropriate committeesIdentify and recommend opportunities for process improvement and risk control developmentReceive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsMonitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk managementOversee the Front Line's execution and challenges appropriately on compliance related decisionsMake decisions and resolve issues to meet business objectivesInterpret policies, procedures, and compliance requirementsCollaborate and consult with peers, colleagues and managers to resolve issues and achieve goalsWork with complex business units, rules and regulations on moderate to high risk compliance mattersInterface with Audit, Legal, external agencies, and regulatory bodies on risk related topicsRequired Qualifications, US:5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationDesired Qualifications:A Juris Doctor (JD) degree -A Master's degree or higher -Advanced Microsoft Office skills -Excellent verbal, written, and interpersonal communication skills -Knowledge and understanding of banking regulations, compliance, policies, process, and procedures -Knowledge ofBank Holding Company Act, Sections 3 and 4 and Merchant Banking RulesNational Bank Act /12 CFR Part 7Small Business Investment Corporation (SBIC) investmentsFederal Reserve Regulation O and Regulation WOther U.S. banking lending laws and regulations (UDAAP, ECOA, FCRA, etc.,)Conflicts of Interest ManagementFINRA Licensing rules (non-permissible activities for unregulated bankers)Knowledge of renewable energy industries/investmentsPrior experience with a federal banking regulator (FRB, OCC)An active Certified Regulatory Compliance Manager (CRCM) designation -Job Expectations: Must work onsite (3/2 Flex schedule permitted). Wells Fargo may consider other locations.Posting locations:Charlotte, NCMinneapolis, MNDes Moines, IADallas, TXSt. Louis, MOPhoenix, AZPreferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees.Pay Range$133,300.00 - $237,100.00 AnnualBenefits Information about Wells Fargo's employee benefitsWe Value DiversityAt 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, or status as a protected veteran.

Keywords: Wells Fargo, Tempe , Lead Compliance Officer, Accounting, Auditing , Tempe, Arizona

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