Senior Compliance Specialist - Policy and Procedure

About this role:

Wells Fargo is seeking a Senior Compliance Specialist in Wells Fargo Compliance as part of the Compliance Policy Team. Learn more about the career areas and lines of business at wellsfargojobs.com.

This Senior Compliance Specialist will draft, finalize and publish Compliance policies and procedures, evaluate and assess adherence to policy requirements, collaborate across Wells Fargo Compliance and provide other compliance risk management activities across the enterprise.

In this role, you will:

• Draft and finalize Compliance policy and procedure content, particularly supporting broker-dealer policies, and working across key Compliance partners and subject matter experts following documented processes

• Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs

• Engage with the Enterprise Policy Office and senior compliance leadership in executing policy reviews and obtaining necessary approvals for Compliance policies and procedures

• Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs

• Develop, oversee, and provide independent challenge to policy content with subject matter expertise

• Facilitate the identification of needed education or awareness to support policy implementation across the firm

• Support Compliance policy implementation and ongoing monitoring for adherence

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

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

• Analyze and challenge regulatory and compliance activities in a complex organization.

• Partner, support, review and prepare compliance information and materials related to audit and regulatory requests.

• Build strong partnerships and collaborate effectively across front-line, independent risk management and key stakeholders

• Perform or assist with ad hoc assignments/projects

• Support ongoing governance over Compliance policies and procedures

• Be a champion of change and a force in developing the Compliance capabilities and culture required to properly provide compliance oversight and control for Wells Fargo

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:

• An active Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA) designation or a legal degree (JD, LLM)

• Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry, particularly the securities industry

• Excellent policy and procedure drafting skills, adhering to grammar rules, content requirements and style guidelines, with the ability to synthesize complex content into simplified requirements

• Strong analytical and critical thinking, with high attention to detail and accuracy

• Ability to effectively engage across all levels of the organization, communicate crisply to facilitate shared understanding across multiple stakeholders to drive to efficient execution of complex regulatory requirements and associated compliance activities

• Ability to provide criticism and challenge, while exercising sound judgment and professionalism, to address a broad spectrum of risk issues

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

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