Wells Fargo is seeking a Lead Compliance Officer to support the Compliance business aligned oversight of Wells Fargo’s COO Operations Shared Services functions which includes Regulatory Operations. 
 
This role provides the opportunity to apply subject matter expertise in industry and financial institution regulatory risk management. This role will support COO Compliance including the Licensing & Registration, Notary and Affiant, LMRDA, Cease & Desist and other COO shared services groups.  This role will support all matters pertaining to Compliance Risk coverage and oversight. In this capacity, this role reviews and challenges significant Front Line compliance risk identification and mitigation.

In this role, you will:

• Oversee and challenge Regulatory Operations functions across all compliance risk routines including plan, identify and assess, control, and mitigate, test and validate, monitor and report 

• Perform independent risk assessment of the operations functions, inclusive of emerging risks 

• Use regulatory subject matter expertise and industry knowledge to provide independent oversight and credible challenge to the Line of Business’ compliance risk management activities 

• Active engagement in key risk governance routines inclusive of strategic planning sessions, governance committees and business reviews 

• Engage with subject matter experts supporting various risk types and related business aligned oversight partners to execute oversight and challenge of Operations functions 

• Develop and maintain relationships with Business Managers, Independent Risk teams, and Group Control Executive teams to drive change and improvement of risk management effectiveness. 

• Build and sustain a strong risk culture including a balanced approach through working in cooperation and consultation with all lines of defense across the enterprise 

• Leverage experience to bring industry leading standards, practices, and tools to the organization

Required Qualifications:

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

Desired Qualifications:

• Advanced knowledge of Regulatory Operations business lines

• RCSA (Risk and Control Self-Assessment) knowledge and experience 

• Experience developing strong working relationships with key senior business, audit, legal, compliance and risk leaders 

• Demonstrated experience with enterprise risk management framework, including risk identification, risk appetite and strategy, risk-related decisions, processes and controls, risk analytics and governance 

• Prior experience in Independent Risk Management 

• Experience in building or evaluating Risk Management Programs (e.g., ERIA, IORA, Issue Management, etc.) 

• Experience with governance committee and/or new business/products 

• Ability to articulate issues, risks, and proposed solutions to various levels of staff and management 

• Ability to execute in a fast paced, high demand, environment while balancing multiple priorities 

• Experience developing and delivering comprehensive report/presentations to senior management, stakeholders, and risk and management committees

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment and management 

• Demonstrated ability to actively lead large scale, cross functional projects/discussions, work through issues and drive decisions

• An active Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) designation or a legal degree (JD, LLM)

Job Expectations:

• Ability to travel up to 15% of the time.

• This position offers a hybrid work schedule.

• Willingness to work onsite at stated location on the job posting.

• This position is not eligible for VISA sponsorship.

Job Posting Locations:

• 401 S Tryon St – Charlotte, NC

• 600 S 4th St – Minneapolis, MN

• 800 S Jordan Creek Pkwy – West Des Moines, IA

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.

$111,100.00 - $197,500.00

Posting End Date:

28 Feb 2025

*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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our 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.