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Senior Compliance Specialist

Company: Wells Fargo
Location: Tempe
Posted on: June 24, 2022

Job Description:

At 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 Senior Compliance Specialist in the Wealth & Investment Management Banking Lending & Trust Compliance team as part of Independent Risk Management. Learn more about the career areas and lines of business at wellsfargojobs.com . The role will provide Compliance oversight of Trust Services Specialty Asset Management. Position will focus on business and governance oversight and credible challenge, issue identification and credible challenge, and compliance monitoring and oversight of Loan Asset Management and other specialty assets within Trust Services.In this role, you will:

  • Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions
  • Provide oversight and monitoring of risk-based compliance programs
  • Develop and oversee standards
  • Provide subject matter expertise with comprehensive knowledge of business and functional area
  • Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
  • Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Provide compliance risk expertise
  • Consult for projects and initiatives with moderate risk for a business line
  • Identify and recommend opportunities for process improvement and risk control development
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • 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 requirementsThis position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.Job posting may come down early due to volume of applicantsRequired Qualifications:
    • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationDesired Qualifications:
      • Testing experience (WFAS, ITV), operational risk experience, familiarity with Agile/technology project management, regulatory experience/familiarity with the 12 CFR 9.
      • Knowledge and understanding of Risk and Control Self-Assessment (RCSA) or Shared Risk Platform (SHRP)
      • Advanced knowledge of issue management policy
      • Industry certification including, CIA, CFIRS, CAMS, CRCM, CTFA. FINRA securities registrations
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to evaluate risks and the impact of decisions on an overall organization
      • Ability to interact with integrity and a high level of professionalism with all levels of team members and managementJob Expectations:
        • Willingness to work on-site at stated location on the job opening Posting Location:
          • Charlotte, NC
          • St. Louis, MO
          • Minneapolis, MN
          • West Des Moines, IA
          • Irving, TX
          • Tempe, AZ Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees. 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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