Wells Fargo Compliance Manager 4 - Compliance Policy Oversight in Phoenix, Arizona

Regulatory Compliance Risk Management (RCRM), Wells Fargo’s regulatory compliance second line of defense function, provides company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet regulatory compliance responsibilities, and manage regulatory compliance risks. RCRM credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for regulatory compliance risk management activities across the enterprise.

Job Description: The Compliance Manager 4 position will be part of RCRM's Policy and Training Oversight and Governance team (“PTOG”), within RCRM’s Chief Operating Office. PTOG leads the implementation, execution, and enhancement of the policy and training components of Wells Fargo’s regulatory compliance program.

This position will lead activities that assure compliance with applicable regulatory and internal policy requirements, review, draft and edit regulatory compliance policies in accordance with a defined compliance target operating model, lead activities that assure compliance with applicable regulatory and internal policy requirements, oversee the preparation of executive- and Board-level presentations and reporting, and manage relationships with stakeholders in RCRM and the broader Wells Fargo compliance community. Critically important in this role are strong writing, editing and organizational skills.

  • Specific duties for this position include, but are not limited to*:

  • Providing oversight, direction and guidance on all activities related to compliance policy management

  • Writing and editing compliance policies to reflect changing business activities, regulatory developments and compliance risks within and across different lines of business

  • Building strong partnerships and collaborating effectively with RCRM, business, enterprise risk, audit, and Law Department partners

  • Managing and/or coordinating production of periodic compliance policy performance reports for senior management, including trend analysis of policy breaches and exceptions/exemptions and recommending strategies to address issues and gaps

  • Leading ad hoc strategic initiatives as they arise

New York City is the preferred location.

Required Qualifications:

  • 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both

  • 5+ years of management experience

Desired Qualifications:

  • 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

  • Experience working in a large enterprise environment

  • A Juris Doctor (JD) degree

  • Ability to handle confidential material in a professional manner

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANTNW/HRMS/c/HRSHRAM.HRSAPPSCHJOB.GBL?Page=HRSAPPJBPST&FOCUS=Applicant&SiteId=1&JobOpeningId=5369876&PostingSeq=1.

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.

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.