Wells Fargo
Senior Compliance Specialist - Operational Excellence, Governance & Controls (OE
Wells Fargo, Charlotte, North Carolina, United States, 28245
About this role:
Wells Fargo is seeking a Sr. Compliance Specialist for the Operational Excellence, Governance & Controls (OEGC) team as part of Corporate Compliance Regulatory Change Management (CRCM). Learn more about the career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . The OEGC team is dedicated to ensuring that Wells Fargo’s regulatory changes are implemented by supporting the CRCM’s operations, efficiency gains, assurance of enterprise policy and procedures adherence, and maintain quality and control standards.
In this role, you will:
Support operational excellence efforts and product enablement activities related to RCM
Support efforts for RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
Support process improvement initiatives, reviews, research, and compile data/information
Support RCM change management triggered by process updates to ensure compliance with operative policies and regulations, including communication and education efforts
Provide horizontal RCM product enablement support execution of deliverables
Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Identify and recommend opportunities for process improvement and 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
Support partnership with business units enterprise regulatory change management matters
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
2+ years process design and optimization experience
Experience in risk management and regulatory compliance
Experience interpreting and applying state, federal, and agency legal
Ability to review and monitor issues and corrective actions relating to regulatory compliance.
Strong Analytical skills, critical thinking with problem solving competency
Ability to redesign processes and enhance solutions through identifying technical solutions
Experience collaborating and building relationships across multiple stakeholders
Demonstrated ability to build and maintain strong relationships with key stakeholder groups
Effective communication and presentation skills for varying levels of information
Six Sigma Certification or Certified Regulatory Compliance Manager (CRCM)
Job Expectations:
Locations:
NC-Charlotte
: 401 S Tryon St - Charlotte, NC
MN
-
Minneapolis:
600 S 4th St - Minneapolis, MN
TX
-
Dallas
: 1445 Ross Ave – Dallas, TX
This position offers a hybrid work schedule
Required location(s) listed above. Relocation assistance is not available for this position.
This position is not eligible for Visa sponsorship
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 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
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$84,000.00 - $149,400.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement
Posting End Date:
25 Nov 2024
*****
Job posting may come down early due to volume of applicants.
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, status as a protected veteran, or any other legally protected characteristic.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Req Number:
R-415741
Wells Fargo is seeking a Sr. Compliance Specialist for the Operational Excellence, Governance & Controls (OEGC) team as part of Corporate Compliance Regulatory Change Management (CRCM). Learn more about the career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . The OEGC team is dedicated to ensuring that Wells Fargo’s regulatory changes are implemented by supporting the CRCM’s operations, efficiency gains, assurance of enterprise policy and procedures adherence, and maintain quality and control standards.
In this role, you will:
Support operational excellence efforts and product enablement activities related to RCM
Support efforts for RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
Support process improvement initiatives, reviews, research, and compile data/information
Support RCM change management triggered by process updates to ensure compliance with operative policies and regulations, including communication and education efforts
Provide horizontal RCM product enablement support execution of deliverables
Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Identify and recommend opportunities for process improvement and 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
Support partnership with business units enterprise regulatory change management matters
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
2+ years process design and optimization experience
Experience in risk management and regulatory compliance
Experience interpreting and applying state, federal, and agency legal
Ability to review and monitor issues and corrective actions relating to regulatory compliance.
Strong Analytical skills, critical thinking with problem solving competency
Ability to redesign processes and enhance solutions through identifying technical solutions
Experience collaborating and building relationships across multiple stakeholders
Demonstrated ability to build and maintain strong relationships with key stakeholder groups
Effective communication and presentation skills for varying levels of information
Six Sigma Certification or Certified Regulatory Compliance Manager (CRCM)
Job Expectations:
Locations:
NC-Charlotte
: 401 S Tryon St - Charlotte, NC
MN
-
Minneapolis:
600 S 4th St - Minneapolis, MN
TX
-
Dallas
: 1445 Ross Ave – Dallas, TX
This position offers a hybrid work schedule
Required location(s) listed above. Relocation assistance is not available for this position.
This position is not eligible for Visa sponsorship
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 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
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$84,000.00 - $149,400.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement
Posting End Date:
25 Nov 2024
*****
Job posting may come down early due to volume of applicants.
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, status as a protected veteran, or any other legally protected characteristic.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Req Number:
R-415741