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Lead Compliance; Conduct Risk Ethics Office

wellsfargo Wells Fargo

Wells Fargo is a diversified community-based financial services company with a vision to satisfy customer’s financial needs and help them succeed financially.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking a Lead Compliance Office r in Conduct Risk as part of Compliance and Independent Risk Management. Learn more about the career areas and lines of business at wellsfargojobs.com .

Our Conduct Risk group is seeking an experienced Ethics Professional.

Responsibilities may include but not limited to:

  • Ethics SME for Conduct Risk responsible for driving governance, including the designing of key controls and engaging industry contacts through networking, and working groups to identify best practices.
  • Lead Ethics-related content for Conduct Risk in risk assessments
  • Engage with frontline Ethics Office for improved Ethics Governance
  • Engage with Conduct Risk Oversight for awareness of trends in monitoring
  • Review and challenge of related procedures documents, issues/questions related to Ethics governance
  • Assist with related Ethics governance activities and initiatives.
  • Drive policy publication process, including the preparation of policy publication documents, engaging SMEs and reviewing their feedback, and monitoring policy implementation.

In this role, you will:

  • Provide oversight and monitoring of business group risk based compliance programs
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
  • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
  • Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Report findings and make recommendations to management and appropriate committees
  • 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
  • Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
  • Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
  • 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 moderate to high risk compliance matters
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications, US:

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

Desired Qualifications:

  • Subject matter expert in Ethics conduct risks
  • Ability to lead Ethics and/or Risk Assessments
  • Risk expertise and issue resolution guidance for Ethics Compliance and lines of business, projects and initiatives that represent a high level of conduct risk to ensure timely resolution.
  • Ability to understand processes end to end and make value-added recommendations to improve design and control structure.
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to articulate complex concepts in a clear manner
  • Financial services industry experience
  • Experience communicating in both written and verbal formats with Management
  • Strong collaboration and partnering skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience driving and leading organizational change in a dynamic environment
  • Ability to work across multiple lines of business leading large scale initiatives

Job Expectations:

  • Ability to travel up to 10% of the time
  • Willingness to work on-site at stated location on the job opening

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees.

A posting is required to be open for a minimum of five (5) calendar days, or until 40 candidates have applied. If recruiters will be closing the posting earlier than five days due to candidate volume, then the following statement must be included: Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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Lead Compliance; Conduct Risk Ethics Office

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Wells Fargo

Wells Fargo is a diversified community-based financial services company with a vision to satisfy customer’s financial needs and help them succeed financially.

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