Senior Lead Compliance Officer (Compliance Strategy, Planning and Governance) - Wells Fargo
CHARLOTTE, NC
About the Job
About this role:
This Senior Lead Compliance Officer will support Compliance Risk Measurement, which executes Compliance Risk Appetite within Compliance Strategy, Planning and Governance. Compliance Risk Measurement facilitates the Enterprise Compliance Risk Measurement Program (Compliance Risk Appetite Assessment, Risk Measures, Annual Review, etc.) including coordinating with the front line, business and horizontal aligned compliance officers, risk type teams and other compliance teams responsible for compliance risk management programs. This individual must be capable of initiating action and managing change in a fast-paced environment. Strong relationship management, influencing and execution skills are required. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for results, and personal accountability for achievement while having the ability to make timely and difficult decisions. Successful candidates will have ability to distill complex concepts into simplified/targeted solutions, communicate those concepts effectively, and ensure that all deliverables are met. They will use analysis to identify business problems and build compelling fact-based recommendations.
In this role, you will:
+ In collaboration with front line, business and horizontal aligned compliance officers, risk type teams and other compliance teams, develop analytical strategies, perform analytical support regarding the enhancement of the compliance risk measures.
+ Manage processes and controls to submit Risk Measure report content to for management and governance committees including Compliance Risk Committee (CRC), Enterprise Risk Control Committee (ERCC), Risk Committee (RC), FL Risk and Control Committees (RCC) and CRO requested reporting.
+ Write executive ready content to be edited and approved by Business Aligned Compliance Officers to summarize results of periodic assessment of compliance risk. Content will drive reporting across multiple audiences and management routines and committees.
+ Responsible for collaborating to identify and define business requirements and translate business needs into complex analysis designs and recommendations.
+ Leads the technical build-out and define requirements for work flow management, reporting tools, BI tools, dashboards, etc. that enable effective executive communication.
+ Develop visualizations to present complex, data driven analysis for executive management including board, front line, risk and audit in support of Compliance Risk Measurement, Executive and Board Reporting
+ Maintain requirements related to regulatory commitments and support reviews to demonstrate sustainable resolutions
Required Qualifications:
+ 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
+ Experience communicating in both written and verbal formats with senior executive-level leaders
+ Experience with governance and oversight requirements for regulatory and risk reporting
+ Ability to negotiate, influence, cultivate relationships and collaborate with multiple stakeholders, including business leaders, legal, and audit
+ Strong analytical and problem solving skills with high attention to detail and accuracy
+ Ability to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork
+ Ability to translate ambiguous ideas/issues into well-defined plans and solutions with a track record of delivering results
+ Excellent organizational skills including the ability manage time sensitive tasks under pressure
+ Strong knowledge and understanding of financial services industry: compliance, risk management, audit operations, products, and regulatory environment
+ Strong understanding of policies, procedures, and programs to ensure appropriate and effective risk mitigation controls are in place
+ Experience identifying and developing metrics to drive business decisions
+ Advanced Microsoft Office skills
+ Tableau/Power BI
Job Expectations:
+ Ability to travel up to 5% of the time
+ Willingness to work on-site at stated location on the job posting
+ This position is not eligible for VISA sponsorship
Posting End Date:
9 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.
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.
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-405358-1
Updated: Fri Oct 04 03:51:17 UTC 2024
Location: CHARLOTTE,North Carolina
This Senior Lead Compliance Officer will support Compliance Risk Measurement, which executes Compliance Risk Appetite within Compliance Strategy, Planning and Governance. Compliance Risk Measurement facilitates the Enterprise Compliance Risk Measurement Program (Compliance Risk Appetite Assessment, Risk Measures, Annual Review, etc.) including coordinating with the front line, business and horizontal aligned compliance officers, risk type teams and other compliance teams responsible for compliance risk management programs. This individual must be capable of initiating action and managing change in a fast-paced environment. Strong relationship management, influencing and execution skills are required. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for results, and personal accountability for achievement while having the ability to make timely and difficult decisions. Successful candidates will have ability to distill complex concepts into simplified/targeted solutions, communicate those concepts effectively, and ensure that all deliverables are met. They will use analysis to identify business problems and build compelling fact-based recommendations.
In this role, you will:
+ In collaboration with front line, business and horizontal aligned compliance officers, risk type teams and other compliance teams, develop analytical strategies, perform analytical support regarding the enhancement of the compliance risk measures.
+ Manage processes and controls to submit Risk Measure report content to for management and governance committees including Compliance Risk Committee (CRC), Enterprise Risk Control Committee (ERCC), Risk Committee (RC), FL Risk and Control Committees (RCC) and CRO requested reporting.
+ Write executive ready content to be edited and approved by Business Aligned Compliance Officers to summarize results of periodic assessment of compliance risk. Content will drive reporting across multiple audiences and management routines and committees.
+ Responsible for collaborating to identify and define business requirements and translate business needs into complex analysis designs and recommendations.
+ Leads the technical build-out and define requirements for work flow management, reporting tools, BI tools, dashboards, etc. that enable effective executive communication.
+ Develop visualizations to present complex, data driven analysis for executive management including board, front line, risk and audit in support of Compliance Risk Measurement, Executive and Board Reporting
+ Maintain requirements related to regulatory commitments and support reviews to demonstrate sustainable resolutions
Required Qualifications:
+ 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
+ Experience communicating in both written and verbal formats with senior executive-level leaders
+ Experience with governance and oversight requirements for regulatory and risk reporting
+ Ability to negotiate, influence, cultivate relationships and collaborate with multiple stakeholders, including business leaders, legal, and audit
+ Strong analytical and problem solving skills with high attention to detail and accuracy
+ Ability to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork
+ Ability to translate ambiguous ideas/issues into well-defined plans and solutions with a track record of delivering results
+ Excellent organizational skills including the ability manage time sensitive tasks under pressure
+ Strong knowledge and understanding of financial services industry: compliance, risk management, audit operations, products, and regulatory environment
+ Strong understanding of policies, procedures, and programs to ensure appropriate and effective risk mitigation controls are in place
+ Experience identifying and developing metrics to drive business decisions
+ Advanced Microsoft Office skills
+ Tableau/Power BI
Job Expectations:
+ Ability to travel up to 5% of the time
+ Willingness to work on-site at stated location on the job posting
+ This position is not eligible for VISA sponsorship
Posting End Date:
9 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.
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.
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-405358-1
Updated: Fri Oct 04 03:51:17 UTC 2024
Location: CHARLOTTE,North Carolina
Source : Wells Fargo