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Job ID: 5551628Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.This Compliance Officer will work with Wells Fargo Investment Institute Inc. Compliance (“WFII Compliance”) and other Wells Fargo affiliated Registered Investment Adviser compliance teams to implement and maintain compliance program activities, including regulatory and corporate requirements, compliance program Major Compliance and Policy Requirements (“MRs”), non-MR compliance processes and controls. Specifically, the Compliance Officer will:
Engage with and review the compliance program activities and controls for appropriate design, operating effectiveness, accuracy and completeness
Provide support and interface with internal and external audits
Provide oversight and challenge to control executive (e.g. first line of defense) activities
Assist the Compliance Manager in designing and developing compliance policies and procedures, as well as process and control activities
Ensure identified compliance issues are escalated, addressed and validated in accordance with corporate policies
Participate in compliance projects as needed including working with compliance and business management to facilitate the distribution and disposition of MRs, and conducting targeted compliance reviews and projects.
Maintain an understanding of WFII’s business operations and regulatory guidance/expectations
Work effectively with WFII Compliance, line of business and control executive teams to implement and maintain WFII’s compliance program activities
Work with compliance and line of business teams to develop, implement and maintain MRs and non-MR related compliance program controls, operational processes and oversight practices.
Engage with and review the compliance program activities and controls for appropriate design, operating effectiveness, accuracy and completeness
Provide support and interface with compliance program audits including Testing and Validation teams, Internal Audit, and other regulators as necessary
Assist the Compliance Manager in designing and developing compliance policies and procedures, as well as process and control activities
Develop expertise of Wells Fargo proprietary systems
Communicate, escalate, address and validate issues identified during compliance program reviews
Perform other duties as assigned
Successful candidates will demonstrate the ability to apply critical thinking talents to make independent assessments, articulate recommendations, and defend conclusions. Additionally, successful candidates will be team players that interact thoughtfully, effectively and in a collaborative manner to complete department objectives.Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.Required Qualifications:
7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management
Desired Qualifications:
Project management experience
Strong collaboration and partnering skills
Advanced Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of an organization
Willingness to work on-site at stated location on the job opening
Job Expectations:
Willingness to work on-site at stated location on the job opening
How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psc/PSEA/APPLICANTNW/HRMS/c/HRSHRAMFL.HRSCGSEARCHFL.GBL?Page=HRSAPPJBPSTFL&FOCUS=Applicant&SiteId=1&JobOpeningId=5551628&PostingSeq=1.All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
