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Senior Compliance Specialist

Company: Wells Fargo
Location: Tempe
Posted on: June 22, 2022

Job Description:

About this role: Wells Fargo is seeking a Senior Compliance Specialist. You will be 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. In this role, you will:

  • Supporting the management and execution of the Compliance Monitoring Program in adherence to the Independent Risk Management (IRM) Monitoring Policies and Procedures.
  • Engage with stakeholders to understand monitoring activities, plans, execute and document high-quality Quality Assurance Reviews and report on the findings.
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk
  • Report findings and make recommendations to management and appropriate committees
  • Identify and recommend opportunities for process improvement and risk control development
    • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
    • Provide subject matter expertise with comprehensive knowledge of business and functional area
    • Provide compliance risk expertise
    • Identify and recommend opportunities for process improvement and risk control development
    • 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
    • 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:
        • Previous experience with Wells Fargo Consumer Lending business lines.
        • Previous experience with a compliance monitoring program.
        • Excellent verbal, written, and interpersonal communication skills
        • Ability to articulate complex changes, issues, risks, and proposed solutions to various levels of staff and management in a clear concise manner.
        • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
        • Experience driving and leading organizational change in a dynamic environment
        • Ability to work across multiple lines of business leading large scale initiatives
        • Ability to be flexible and adjust plans quickly to meet changing business needs
        • Strong analytical skills with high attention to detail and accuracy 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, or status as a protected veteran. 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.

Keywords: Wells Fargo, Tempe , Senior Compliance Specialist, Other , Tempe, Arizona

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