Compliance Senior Manager- Compliance Conduct Risk Oversight - Wells Fargo
CHARLOTTE, NC
About the Job
About this role:
Wells Fargo is seeking a Compliance Senior Manager in Corporate Risk as part of Compliance Conduct Risk. Learn more about the career areas and business divisions at wellsfargojobs.com . Conduct Risk is an independent risk management function responsible for establishing requirements and providing independent assessment of, and challenge to, front line management of conduct risks. This Compliance Senior Manager will lead the Conflicts Oversight team, a group within the Conduct Risk Conflicts of Interest Governance and Oversight team. Conflicts Oversight focuses on the implementation of, and adherence to, Conduct Risk Conflicts of Interest policies within specific business groups and enterprise functions.
In this role, you will:
+ Manage and lead team with the implementation of the companywide compliance program with moderate to high-risk complexity.
+ Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
+ Provide compliance risk and regulatory expertise for compliance program elements.
+ Identify and recommend opportunities for process improvement and risk control development.
+ Lead the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
+ Report on the Compliance Program to more experienced compliance leaders, committees, and appropriate business management.
+ Make decisions and resolve issues to meet business objectives.
+ Interpret policies, procedures, and compliance requirements.
+ Collaborate and influence all levels of professionals including managers.
+ Build relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics.
+ Lead team to achieve objectives.
+ Manage allocation of people and financial resources for Compliance.
+ Develop and guide a culture of talent development to meet business objectives and strategy.
Required Qualifications:
+ 6+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
+ 3+ years of Management experience
Desired Qualifications:
+ Experience in identifying and managing conduct risks in the financial services industry.
+ Experience supporting Enterprise Policies.
+ Ability to lead, develop, mentor and train less senior staff.
+ Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
+ Experience driving and leading organizational change in a dynamic environment across multiple lines of business.
+ Demonstrated experience in managing internal and external audit engagements or exams, including experience providing written responses.
+ Demonstrated experience identifying control gaps and designing effective solutions.
+ Excellent verbal, written, and interpersonal communication skills with senior management.
+ Demonstrated experience in managing executive-level leadership meetings.
+ A Certified Risk Compliance Manager (CRCM), Certified Enterprise Risk Professional (CERP), Certificate in Operational Risk Management (ABA), Certified Risk and Compliance Management Professional (CRCMP), Certified Fraud Examiner (CFE), Certificate In Risk Management (CRMA), Certified Compliance & Ethics Professional (CCEP), Certified Risk Professional Program (CRP), or equivalent designation.
Job Expectations:
+ Ability to travel up to 5% of the time
+ This position currently offers a hybrid work schedule
+ 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 comply 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.
Posting Locations:
+ 401 S Tryon St. - Charlotte, NC 28202
+ 250 E John Carpenter Frwy - Irving, TX 75062
+ 600 S 4th St - Minneapolis, MN 55415
+ 114 N Beaumont St. D Bldg. - Saint Louis, MO 63103
+ 1150 W Washington St. - Tempe, AZ 85288
+ 800 S Jordan Creek Pkwy - West Des Moines, IA 50266
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.
$144,400.00 - $300,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs 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:
8 Oct 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 .
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.
Company: WELLS FARGO BANK
Req Number: R-402948-1
Updated: Fri Oct 04 03:51:18 UTC 2024
Location: CHARLOTTE,North Carolina
Wells Fargo is seeking a Compliance Senior Manager in Corporate Risk as part of Compliance Conduct Risk. Learn more about the career areas and business divisions at wellsfargojobs.com . Conduct Risk is an independent risk management function responsible for establishing requirements and providing independent assessment of, and challenge to, front line management of conduct risks. This Compliance Senior Manager will lead the Conflicts Oversight team, a group within the Conduct Risk Conflicts of Interest Governance and Oversight team. Conflicts Oversight focuses on the implementation of, and adherence to, Conduct Risk Conflicts of Interest policies within specific business groups and enterprise functions.
In this role, you will:
+ Manage and lead team with the implementation of the companywide compliance program with moderate to high-risk complexity.
+ Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
+ Provide compliance risk and regulatory expertise for compliance program elements.
+ Identify and recommend opportunities for process improvement and risk control development.
+ Lead the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
+ Report on the Compliance Program to more experienced compliance leaders, committees, and appropriate business management.
+ Make decisions and resolve issues to meet business objectives.
+ Interpret policies, procedures, and compliance requirements.
+ Collaborate and influence all levels of professionals including managers.
+ Build relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics.
+ Lead team to achieve objectives.
+ Manage allocation of people and financial resources for Compliance.
+ Develop and guide a culture of talent development to meet business objectives and strategy.
Required Qualifications:
+ 6+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
+ 3+ years of Management experience
Desired Qualifications:
+ Experience in identifying and managing conduct risks in the financial services industry.
+ Experience supporting Enterprise Policies.
+ Ability to lead, develop, mentor and train less senior staff.
+ Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
+ Experience driving and leading organizational change in a dynamic environment across multiple lines of business.
+ Demonstrated experience in managing internal and external audit engagements or exams, including experience providing written responses.
+ Demonstrated experience identifying control gaps and designing effective solutions.
+ Excellent verbal, written, and interpersonal communication skills with senior management.
+ Demonstrated experience in managing executive-level leadership meetings.
+ A Certified Risk Compliance Manager (CRCM), Certified Enterprise Risk Professional (CERP), Certificate in Operational Risk Management (ABA), Certified Risk and Compliance Management Professional (CRCMP), Certified Fraud Examiner (CFE), Certificate In Risk Management (CRMA), Certified Compliance & Ethics Professional (CCEP), Certified Risk Professional Program (CRP), or equivalent designation.
Job Expectations:
+ Ability to travel up to 5% of the time
+ This position currently offers a hybrid work schedule
+ 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 comply 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.
Posting Locations:
+ 401 S Tryon St. - Charlotte, NC 28202
+ 250 E John Carpenter Frwy - Irving, TX 75062
+ 600 S 4th St - Minneapolis, MN 55415
+ 114 N Beaumont St. D Bldg. - Saint Louis, MO 63103
+ 1150 W Washington St. - Tempe, AZ 85288
+ 800 S Jordan Creek Pkwy - West Des Moines, IA 50266
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.
$144,400.00 - $300,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs 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:
8 Oct 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 .
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.
Company: WELLS FARGO BANK
Req Number: R-402948-1
Updated: Fri Oct 04 03:51:18 UTC 2024
Location: CHARLOTTE,North Carolina
Source : Wells Fargo