Lead Compliance Officer - Program Effectiveness Assessment (PEA), Risk Management Effectiveness (RME) and Enterprise Risk Identification and Assessment (ERIA) programs

About this role: Wells Fargo is seeking a Lead Compliance Officer within the Compliance Program organization.  This role will provide enterprise Compliance expertise and oversight, working closely with various partners across all business-aligned Compliance teams and the Independent Risk Management organization.  Operating within the Compliance Risk Assessment Team, this role will have programmatic responsibilities relating to the Program Effectiveness Assessment (PEA), Risk Management Effectiveness (RME) and Enterprise Risk Identification and Assessment (ERIA) programs.

In this role, you will:

• Participate in the development, planning, data gathering, quality control and reporting of PEA, RME, and ERIA programs.

• Gather, analyze, and synthesize information into concise, executive-ready summaries and reports for leadership, auditors, and/or examiners.

• Coordinate inter- and intra-departmental deliverables relating to the covered programs.

• Provide Compliance risk expertise and support of integrated risk programs and initiatives with moderate to high risk, over multiple business lines.

• Collect artifacts in support of ongoing sustainability processes.

• Develop and enhance standards, procedures, and job-aids relating to covered programs.

• Identify and recommend opportunities for process improvement and control development.

• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.

• Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.

• Make decisions and resolve issues to meet business objectives.

• 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 compliance matters.

Required Qualifications:

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

Desired Qualifications:

• Experience in design, enhancement, and execution of Enterprise level risk assessments.

• Knowledge and understanding of Regulatory Risk and Compliance policies and programs.

• Understanding of process controls, to include control design and or execution.

• Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, Teams, and SharePoint) skills.

• Clear and concise written and oral presentation and communication skills.

• Strong attention to detail and a sharp focus on eliminating errors.

• Strong analytical and report delivery skills.

• Excellent interpersonal skills, including conflict resolution.

• Process testing experience (Audit, Quality Assurance, or Enterprise Independent Testing).

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.

• Demonstrated experience solving problems and delivering high-quality work in a timely fashion.

• Knowledge and understanding of Regulatory Risk and Compliance Programs.

• Six Sigma or similar process improvement experience.

• Experience engaging in system enhancements (requirements, testing, etc.).

Job Expectations:

• Ability to travel up to 15% of the time.

• This position offers a hybrid work schedule.

• Willingness to work onsite at stated location on the job posting.

• 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 comply 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.

Posting End Date: 

9 Feb 2025

*Job posting may come down early due to volume of applicants.

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