CIB Compliance
2 weeks ago
Wells Fargo is seeking a Senior Compliance Specialist to be part of Corporate Investment Banking Compliance's monitoring team. This team is being established to monitor high risk regulations
In this role, you will:
- Collaborate with Business Aligned Compliance Officers (BACO) teams to document, execute, and maintain monitoring plans and activities.
- Provide monitoring program level support by conducting quality reviews, generating (and possibly creating) reports based on needs or tasks, follow up with BACOs to ensure timely execution of monitoring, liaise with the Enterprise Compliance Monitoring and Controls team for ad-hoc requests, manage access, etc.
- Learn and understand the Operational Risk Platform (ORP), the system of record for monitoring, in order to provide assistance and support to BACOs and users.
- Understanding of monitoring principle and risk management/compliance frameworks
- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- Provide oversight and monitoring of risk-based compliance programs
- Develop and oversee standards
- Provide subject matter expertise with comprehensive knowledge of business and functional area
- Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
- Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Provide direction to the business on developing corrective action plans and effectively managing regulatory change
- Provide compliance risk expertise
- Consult for projects and initiatives with moderate risk for a business line
- Identify and recommend opportunities for process improvement and risk 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 and achieve goals
- Work with complex business units, rules and regulations on moderate risk compliance matters
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
- 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Experience working in the Compliance space ideally in the BFSI space
- Reporting knowledge and experience, able to report on monitoring activities within their area as well as the ability to provide aggregate reporting
- Ability to analyze data and highlight trends and anomaly in data
- Attention to detail, some background with documenting processes
- Risk mindset, is able to identify and escalate risks
- Willingness to work on-site at stated location on the job opening
10 Jun 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.
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.
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.
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