Compliance Sr Mgr

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 the company’s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations, and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Consumer & Small Business Banking (CSBB) Compliance institutes the development, implementation, and execution of the compliance strategy for CSBB through its support of the consumer and small business banking teams. CSBB Compliance provides independent oversight and support to CSBB lines of business including Branch Banking, Deposits, Small Business, Consumer Data and Engagement Platforms, Chief Administrative Office, Marketing, and Operations.

The Roles 

One Compliance Senior Manager will be responsible for leading the compliance team that oversees the implementation and execution of the risk programs for the CSBB Consumer Data & Engagement Platforms (CDEP) group. In addition, this role will be responsible for providing compliance risk and regulatory subject matter expertise for the Marketing & Sales Platforms, Marketing Channels and Marketing Execution & Process Excellence units. The CDEP group works across the CSBB, Consumer Lending, and Wealth and Investment Management lines of business to develop coordinated strategies for growth in each of Wells Fargo's customer segments. 

The successful candidate will be responsible for:

• Establishing and leading the execution of the enterprise-compliance program
• Overseeing the Front Line's execution and challenge appropriately on compliance related decisions
• Providing compliance risk and regulatory subject matter expertise for compliance program elements
• Leading the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management, and reporting on the state of the Compliance Program to senior compliance leaders, Committees, and appropriate business management
• Independently and credibly challenging compliance-related business management decisions, business and operating processes, and business activities
• Building relationships with corporate, business heads, Legal, Audit, regulators and industry partners on risk related topics
• Leading the team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them

Another Compliance Senior Manager will be responsible for leading the compliance team that is responsible for customer communication content reviews, and will develop and implement training and resources for compliance review teams to ensure an effective and sustainable review program for Consumer and Small Business Banking businesses. In addition, this role will chair the Marketing and Advertising Compliance Council responsible for driving best practices, compliance plan initiatives, and transformation initiatives across all compliance marketing content review teams.

The successful candidate will be responsible for:

• Providing compliance risk and regulatory subject matter expertise for promotional and non-promotional customer communications
• Leading the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding the compliance content review program, and reporting on the state of the program to senior compliance leaders, Committees, and appropriate business management
• Independently and credibly challenging compliance-related business management decisions, business and operating processes, and business activities
• Managing annual compliance monitoring activities in accordance with compliance responsibilities defined within the enterprise Marketing and Advertising Policy
• Building relationships with corporate, business heads, Legal, Audit, regulators and industry partners on risk related topics
• Leading the team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them

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

• A BS/BA degree or higher
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Advanced Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Strong organizational, multi-tasking, and prioritizing skills
• Strong project management skills including the ability to handle multiple projects concurrently

• Strong understanding of CSBB (Consumer & Small Business Banking) business processes, risk and control requirements
• Ability to articulate complex changes, issues, risks, and proposed solutions to various levels of staff and management in a clear concise manner.
• Knowledge and understanding of financial services industry 
• Independent thinker with proven ability and experience in being able to look at the big picture across a program and implement successful strategy and solutions

• Ability to travel up to 5% 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.