Senior Compliance Specialist

About this role:

Wells Fargo is seeking a Senior Compliance Specialist to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. Learn more about the career areas and lines of business at wellsfargojobs.com.

This position will serve to coordinate, build, and execute strategies and initiatives to streamline and improve regulation change identification and alerting. The Sr Compliance Specialist will report to the leader of the Horizon Scanning product area and engage with key stakeholders to identify new processes, process changes, or projects needed to improve effectiveness and drive efficiencies of risk management practices. This role will be responsible for the target operating state identified for enhancement.

In this role, you will:

• Collaborate with global stakeholder group to document current operational state and areas of opportunity
• Acquire deep subject matter expertise of Horizon Scanning product area to become a respected partner and change agent for the coverage area
• Identify and recommend opportunities for process improvement and efficiency gain
• Provide oversight, governance, and in certain cases, project support for the implementation of process improvements and efficiency initiatives
• Establish and interpret analytics and metrics to guide efficiency opportunity identification and monitoring of target operating state
• Lead customer success activities supporting the Horizon Scanning product area including but not limited to office hours, intake management, education, documentation
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals
• Provide support to Horizon Scanning stakeholders on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management
• Interpret policies, procedures, and compliance requirements

Required Qualifications:

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

Desired Qualifications:

• Demonstrated experience taking active ownership and driving key results for moderate or high impact risk processes or products
• Proficiency in process mapping to outline the steps of a process, identifying inefficiencies, redundancies, and bottlenecks, enabling targeted improvements for enhanced productivity and quality.
• Experience Value Stream Mapping (VSM) to analyze and design the flow of materials and information required to bring a product or service to a customer, identifying waste, constraints, and opportunities for improvement within processes.
• Proficiency with statistical analysis including the collection, examination, interpretation, and presentation of numerical data to identify trends, patterns, and anomalies to inform and improve decision-making and optimize processes.
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
• Ability to negotiate, influence, and collaborate to build successful relationships
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Excellent verbal, written, and interpersonal communication skills
• Ability to prepare and present senior level communications
• Six Sigma Certification
• Project Management Professional (PMP)

Job Expectations:

Locations:

• 401 S Tryon Street, Charlotte, NC 28202
• 250 E John Carpenter Frwy, Irving, TX 75062
• 600 S 4th Street, Minneapolis, MN 55415
• 800 S Jordan Creek Pkwy, West Des Moines, IA 50266
• 114 N Beaumont Street Bldg D, Saint Louis, MO 63103
• ​This position offers a hybrid work schedule
• Required location(s) listed above. Relocation assistance is not available for this position.
• 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 compliance 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

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.

$84,000.00 - $149,400.00

Posting End Date:

1 Mar 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.