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Lead Compliance Officer
Company: WELLS FARGO BANK
Location: Tempe, AZ
Employment Type: Full Time
Date Posted: 05/25/2022
Expire Date: 07/16/2022
Job Categories: Banking, Consulting Services, Finance/Economics, Financial Services, Human Resources, Information Technology, Legal, Military, Executive Management, Research & Development, Energy / Utilities
Job Description
Lead Compliance Officer

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 Lead Compliance Officer-CSBB Compliance Policy Support/Regulatory Change in Corporate Risk, as part of the Consumer Small Business and Banking (CSBB) Regulatory Change Management Team. Learn more about the career areas and lines of business at wellsfargojobs.com. The Lead Compliance Officer will oversee CSBB Compliance Policy updates, resulting from both legislative and regulatory changes and internal guidance and ensure appropriate Compliance engagement/credible challenge. Provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk, often spanning all CSBB business lines.  A successful candidate will be able to create executive level reporting across all CSBB business lines.


In this role, you will:

  • Provide oversight and monitoring of Compliance Policy updates resulting from regulatory change management activities impacting CSBB businesses

  • Maintain compliance risk expertise and consulting for CSBB Compliance Policy initiatives, over multiple business lines

  • Establish, implement and maintain risk standards and programs to drive CSBB Compliance Policy updates for compliance with federal, state, agency, legal and regulatory changes

  • Ensure consistent implementation and execution of regulatory law changes wherever possible

  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise

  • Identify and recommend opportunities for process improvement and risk control development

  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

  • Oversee the Front Line's execution and challenges appropriately on compliance decisions related to Compliance Policy updates

  • Make decisions and resolve issues to meet business objectives

  • 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 to high risk compliance matters

Job posting may come down early due to volume of applicants


Required Qualifications, US:

  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


Desired Qualifications:

  • Experience implementing compliance programs; specifically, Compliance Policy compliance, that supports adherence to financial services regulations and/or prudential regulatory guidance

  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

  • Ability to exercise independent judgment to identify and resolve problems using the power of influence

  • Experience identifying and assessing regulatory compliance risk for large complex financial institutions

  • Ability to efficiently condense complex information and scenarios to essential elements for executive recommendations and consumption

  • Strong understanding of CSBB (Consumer & Small Business Banking) business processes, risk, and control requirements

  • Knowledge and understanding of consumer compliance laws and regulations

  • Advanced Microsoft Office skills

  • Strong analytical skills with high attention to detail and accuracy

  • A BS/BA degree or higher

  • An active Certified Regulatory Compliance Manager (CRCM) designation


Job Expectations:

  • Willingness to work on-site at stated location on the job opening

  • Ability to travel up to 10% of the time

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.

Contact Information
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