Financial Crimes Director

About this role:

As the Financial Crimes Director in the Chief Administrative Office of Wealth Investment Management, you will lead a team focused on the anti-money laundering and other financial crime related obligations associated with the Firm's Wealth and Investment Management (WIM) division. The leader will focus on a variety of tasks, including providing financial crimes related advice and guidance to the WIM businesses and serving as an escalation point for AML and sanctions in the WIM space. This person will partner with multiple front-line teams, IRM Financial Crimes, Operational Risk Control, Legal, and the enterprise Financial Crimes Risk Management group and Wells Fargo Audit Services, to manage and coordinate a risk-based approach to Anti-Money Laundering (AML), the Bank Secrecy Act, global sanctions, and related financial crimes issues, including fraud and anti-bribery and corruption (ABC) themed items.

In this role, you will:

• Provide guidance and direction to business and compliance teams on issues related to AML, sanctions, and anti-corruption laws and regulations, including the USA PATRIOT Act, Bank Secrecy Act, OFAC/HMT regulations, U.S. Foreign Corrupt Practices Act (FCPA), UK Bribery Act, etc
• Act as the key point of contact for senior leaders in WIM, WIM Financial Crimes Risk Control, IRM Financial Crimes and Financial Crimes Risk Management, Wells Fargo Audit, regulators, and other constituents; ensure that all inquiries are responded to appropriately and in a timely manner.
• Serve as an escalation point for all financial crimes for all WIM leaders and IRM Financial Crimes
• Assist in coordinating WIM training on financial crimes related topics.
• Quickly identify, strategize, and report on specific issues or incidents, control weaknesses or emerging risks.
• Advise on transactional due diligence with respect to clients, counterparties, co-investors, and target companies/assets and provide guidance to the business on due diligence requirements
• Identify and escalate client matters with significant reputational risk and potential financial crimes exposure
• Advise on issues related to Know Your Customer (KYC) obligations, including reviewing complex structures and higher risk customers for AML related-risks
• Identify weaknesses, gaps and areas for enhancement across processes and platforms, determine appropriate solutions and lead corrective action efforts
• Lead special projects arising from the administration of the WIM and Financial Crimes program
• Liaise and coordinate within FC and with key stakeholders across the Firm, including Legal, Compliance, Regulatory Relations, and Risk, to ensure appropriate execution of the Firm's financial crimes prevention program
• Coordinate execution of WIM and Banks Financial Crimes program changes with key stakeholders (Operations, Technology, Compliance, and FC)
• Ensure consistency of Financial Crimes Risk Control standards against risk tolerance across all WIM businesses

Required Qualifications:

• 8+ years of risk management, business controls, or compliance experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education
• 4+ years of management or leadership experience

Desired Qualifications:

• Extensive risk management and control experience in the area of Financial Crimes, preferably in a Wealth business
• Results driven professional with a unique blend of experience in business operations, corporate governance, operational and regulatory risk management 
• Experience building and overseeing Compliance Risk Management Programs and Risk Management Governance frameworks
• This leader must be well rounded and highly versatile with a broad range of skills and experience, ideally with a background in regulatory and policy implementation as well as compliance and foundational risk activities. The ability to collaborate well with others, communicate thoughtfully with key stakeholders at all levels of the organization and lead effectively is critical to the role as are strong management and organization skills
• Proven success leading and developing high performing teams in a complex matrixed environment
• Strategic mindset and the ability to influence change across all levels of the organization
• Change management, portfolio governance, and program design and delivery leadership experience
• Experience with governance and oversight requirements for regulatory and risk reporting
• Strong leadership skills; coaching, development, and mentoring various levels of staff

Job Expectations:

• Ability to travel estimated up to 10-15% of the time
• This position offers a hyb