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:

• Solid familiarity with testing, monitoring, audit, internal control testing or equivalent
• Basic knowledge of Wealth and Investment Management products, services, and regulatory requirements
• Strong ability to analyze data and control-based output to reach effective monitoring conclusions
• Excellent verbal, written, and interpersonal communication skills
• Ability to articulate complex concepts in a clear manner
• BS/BA degree or higher

Job Expectations:

• Solid familiarity with testing, monitoring, audit, internal control testing or equivalent
• Basic knowledge of Wealth and Investment Management products, services, and regulatory requirements
• Strong ability to analyze data and control-based output to reach effective monitoring conclusions
• Excellent verbal, written, and interpersonal communication skills
• Ability to articulate complex concepts in a clear manner
• BS/BA degree or higher