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Vice President Enterprise Compliance
7 days ago
About the Enterprise Compliance Operations (ECO) Team:
Enterprise Compliance Operations (ECO) oversees risks linked to Information Barriers, insider trading, large shareholding reporting, and employee conflicts. The ECO team includes Global Control Room, Personal Account Trading, Equity Aggregation, Insurance Licensing, Political Law Pre-Clearance and Reporting, and Global Compliance Ethics Pre-clearance teams.
The Insurance Licensing team collaborates with Wealth Investment Management to facilitate licensure processes for Financial Advisors, support teams, and licensed bankers. This involves maintaining accurate insurance licenses, continuing education, and Insurance Carrier appointments to enable Financial Advisors to conduct Life Insurance or Annuity business with Wells Fargo customers.
The Enterprise Registration team handles Initial filing and transfer of registrations of employees at Wells Fargo supporting various Lines of Business. They offer guidance on registration needs, maintain records per FINRA and Securities and Exchange Commission requirements, and assist Compliance in overseeing registered locations globally.
In this role, you will:
- Manage a team to establish and maintain risk programs for compliance with regulations
- Oversee compliance decisions and challenges
- Lead the companywide compliance program
- Provide expertise on compliance risks and regulations
- Suggest process improvements and risk control developments
- Communicate with leadership on compliance risks
- Implement strategic initiatives
- Make decisions to meet business objectives
- Interpret policies and procedures
- Collaborate with professionals at all levels
- Manage allocation of resources for Compliance
- Mentor and guide talent development
- 15 years of Compliance experience
- 5+ years of Leadership experience
- BS/BA degree in business, accounting, finance, or economics
- Experience working with executives
- Ability to work independently
- Excellent analytical skills
- Experience with risk assessment programs
- On-site work required at specified location
9 Jun 2024
We Value Diversity
Wells Fargo promotes diversity, equity, and inclusion in the workplace and encourages applications from all qualified candidates, regardless of background.
Drug and Alcohol Policy
Wells Fargo upholds a drug-free workplace. Learn more about the policy on their website.
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