Senior Compliance Specialist

Wells Fargo is seeking a Senior Compliance Specialist.

In this role, you will:

• 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

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:

• Ability to take initiative and work independently with minimal supervision in a structured environment to prioritize work, meet deadlines, achieve goals, and work under time constraints
• Ability to evaluate risks and the impact of decisions on an overall organization
• Deep knowledge of and ability to use data
• Strong analytical skills with high attention to detail and accuracy
• Experience and proficiency in Alteryx, PowerBI, and/or SQL; SAS or Python proficiency preferred
• Ability to identify and manage complex issues and negotiate solutions
• Ability to interact with integrity and a high level of professionalism with all levels of an organization
• Proven Supervisory and or Brokerage Compliance experience
• FINRA Series 9/10 or 24 or equivalent experience

Job Expectations:

• Work with the WIM Compliance leaders and other partners to implement WIM Compliance data analytics and Surveillance capability enhancements
• Utilize data analytics and reporting capabilities to identify new, changing, and emerging compliance risk
• Identify and recommend opportunities for process improvement and risk control development
• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
• Report findings and make recommendations to Compliance management
• 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
• Oversee the Front Line's execution and challenge compliance related decisions as needed
• Review client account activity and escalate observations to Compliance Management as needed
• Provide oversight and monitoring of front-line supervision routines
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements