Compliance Sr Manager - CL & WIM

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.  In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.

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.

As the company's second line of defense, Corporate Risk — or Independent Risk Management — provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo's risk management program and provides oversight, including challenges to and independent assessment of, the frontline's execution of its risk management responsibilities. We manage risk according to the Risk Management Framework and ensure all employees understand their individual accountability for managing risk. Corporate Risk roles depend on a variety of skills, including: Data analysis and synthesis, root cause analysis, change management, process management & execution, risk governance, risk strategy, risk identification & assessment, risk prevention, controls & mitigation, risk monitoring, reporting & escalation, risk systems & technology.

Wells Fargo Compliance is part of the company’s Corporate Risk or independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory requirements, while meeting compliance responsibilities and managing compliance risks.

Compliance Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company’s values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line’s adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.

We have two exciting Compliance Sr Manager opportunities within Compliance Conduct Risk. One Compliance Sr Manager would be responsible for leading the Wealth Investment Management (WIM) Oversight team. While the other would be would be responsible for leading the Consumer Lending Oversight team. Both would report to the Head of Conduct Risk Oversight (Compliance Senior Director).  These leaders will focus on identifying and executing activities to strengthen conduct risk program risk identification, monitoring, escalation, issue management, and risk measurement reporting.

As an Employee Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically, you will:

• Lead your team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them.
• Accomplish management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing and developing employees, identifying and managing risks, and completing daily management tasks.

• 10+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management
• 3+ years of management experience

• Subject matter expert in conduct risks (includes but not limited to Sales Practices Risk, Ethics Risk, Insider Threat Risk)
• Subject matter expert in leader role’s respective area of scope (WIM or CL) including products, sales models, operations and servicing.
• Risk expertise and issue resolution guidance for CL or WIM business group and lines of business, projects and initiatives that represent a high level of conduct risk to ensure timely resolution.
• WIM Leader role: Series 7, Series 24
• Ability to lead, develop, and execute oversight routines over business group and line of business functions with differing, complex, and large impact areas – identifying risk, existing controls, controls gaps, areas for improvement, trends, emerging risks, and overall recommendations
• Advises and provides credibly challenge for the front line throughout each stage of the Risk Management Lifecycle for conduct risks; plan, identify and assess, control and mitigate, monitor and report, and test and validate (i.e. RCSA, performance management and incentive compensation, risk controls, issues management, metric results, etc.)
• Ability to manage large bodies of work, with multiples partners, complex and shifting processes; ability to quickly understand other owned processes, understand recommendations/problems, develop solutions, and execute under aggressive deadliness
• Ability to own or contribute to problem solving and drive work to execution through validation. 
• Ability to identity solutions and influence peers, leaders in other groups, and senior managers, with differing opinions and challenges.  Ability to negotiate.
• Ability to provide advice and credible challenge to CL & WIM functions’ senior management, conduct risk senior management, audit, and regulators. 
• Strong communication, influencing, and problem-solving skills; ability to interact with senior business leaders, control function partners, and regulators to foster transparency and awareness of conduct-related activities.
   

• Ability to travel up to 10% of the time

NC-Charlotte: 401 S Tryon St - Charlotte, NC
TX-Irving: 5000 Riverside Drive - Irving, TX
IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
AZ-Tempe: 1150 W Washington St - Tempe, AZ
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

• All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
  
  Relevant military experience is considered for veterans and transitioning service men and women.
  Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Benefits
 

Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.