Senior Compliance Specialist - Operational Excellence, Governance & Controls (OEGC) Team

About this role:

Wells Fargo is seeking a Sr. Compliance Specialist for the Operational Excellence, Governance & Controls (OEGC) team as part of Corporate Compliance Regulatory Change Management (CRCM). Learn more about the career areas and lines of business at wellsfargojobs.com. The OEGC team is dedicated to ensuring that Wells Fargo’s regulatory changes are implemented by supporting the CRCM’s operations, efficiency gains, assurance of enterprise policy and procedures adherence, and maintain quality and control standards.

In this role, you will:

• Support operational excellence efforts and product enablement activities related to RCM
• Support efforts for RCM standards and program maintenance to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
• Support process improvement initiatives, reviews, research, and compile data/information
• Support RCM change management triggered by process updates to ensure compliance with operative policies and regulations, including communication and education efforts
• Provide horizontal RCM product enablement support execution of deliverables
• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Identify and recommend opportunities for process improvement and 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
• Support partnership with business units enterprise regulatory change management matters

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:

• 2+ years process design and optimization experience
• Experience in risk management and regulatory compliance
• Experience interpreting and applying state, federal, and agency legal
• Ability to review and monitor issues and corrective actions relating to regulatory compliance.
• Strong Analytical skills, critical thinking with problem solving competency
• Ability to redesign processes and enhance solutions through identifying technical solutions
• Experience collaborating and building relationships across multiple stakeholders
• Demonstrated ability to build and maintain strong relationships with key stakeholder groups
• Effective communication and presentation skills for varying levels of information
• Six Sigma Certification or Certified Regulatory Compliance Manager (CRCM)

Job Expectations:

Locations:

• NC-Charlotte: 401 S Tryon St - Charlotte, NC
• MN-Minneapolis:  600 S 4th St - Minneapolis, MN
• TX-Dallas: 1445 Ross Ave – Dallas, TX
• This position offers a hybrid work schedule
• Required location(s) listed above. Relocation assistance is not available for this position.
• 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 compliance 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

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$84,000.00 - $149,400.00