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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