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
Didn't find what you're looking for? Search again!
Loading more jobs...