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Compliance Sr Officer, Corporate & Investment Banking Compliance Team
Company: Wells Fargo
Location: Charlotte, NC
Employment Type: Full Time
Date Posted: 01/22/2021
Expire Date: 04/04/2021
Job Categories: Accounting/Auditing, Banking, Finance/Economics, Financial Services, Healthcare, Practitioner and Technician, Information Technology, Insurance, Law Enforcement, and Security, Legal, Military, Real Estate, Retail/Wholesale
Job Description
Compliance Sr Officer, Corporate & Investment Banking Compliance Team
Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

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

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

The Senior Business Unit Compliance Officer (BUCO), part of the Corporate & Investment Banking Compliance team dedicated to one or more sub-lines of business within the Asset Backed finance (ABF) and/or commercial real estate (CRE) lines of businesses, with responsibility for the following:

  • Oversee the front line's execution of its compliance risk management responsibilities
  • Challenge compliance risk decisions made by the front line
  • Provide strategic regulatory advice and guidance with an enterprise view to team members and leadership
  • Responsible for developing, implementing, and monitoring risk-based compliance programs to identify, assess, and mitigate any non-compliance with applicable regulations under the fifteen elements of the Compliance Program


Required Qualifications

  • 10+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management



Desired Qualifications

  • A Masters of Business Administration (MBA) or Juris Doctor (JD)
  • 7+ years of risk and regulatory compliance experience
  • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function
  • Ability to articulate complex concepts in a clear manner
  • Ability to assess issues, make quick decisions, implement solutions, and influence change
  • Ability to initiate action, make difficult decisions, and generate creative solutions
  • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Knowledge and understanding of complex regulatory/compliance issues and potential solutions
  • Knowledge and understanding of compliance risk in the financial services industry
  • Knowledge and understanding of wholesale banking products and services
  • Strong analytical skills with high attention to detail and accuracy
  • Strong time management skills and ability to meet deadlines



Other Desired Qualifications
  • Strong critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results
  • 7+ years of compliance experience with focus on banking and lending regulations
  • In-depth understanding of Compliance as evidenced through a compliance certification


Job Expectations

  • Ability to travel up to 10% of the time



Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

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