CHARLOTTE, NC Wells Fargo
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About this role:
Wells Fargo is seeking a Lead Compliance Officer to join the Personal Account Dealing Team (“PAD”) responsible for Personal Account Dealing coverage, account review, collection of data to enable employee trade surveillance and providing guidance to employees covered by PAD requirements at Wells Fargo. The PAD Team is also responsible for additional enterprise compliance attestations.
About Enterprise Compliance Operations and Conduct Risk:
Enterprise Compliance Operations (“ECO”) is responsible for the monitoring, oversight, and review and challenge of risks associated with information barriers, insider trading, large shareholding reporting, registration, insurance licensing, and employee conflicts. The functions include the following teams: Global Control Room, Personal Account Dealing, Equity Aggregation, Insurance Licensing, Political Law Pre-Clearance and Reporting, and Global Compliance Ethics Pre-clearance.
Conduct Risk is responsible for implementing and maintaining the conduct risk program, inclusive of governance and risk management requirements to provide independent review and challenge to front line programs managing conduct risks.
Learn more about the career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/)
In this role, you will:
Report to the Compliance Director on the Personal Account Dealing Team and will work in close collaboration across various functions in PAD and ECO
Serve as a SME and process owner across all areas of account disclosure, electronic trade feed work and account review on the PAD team
Will lead a multi-year effort to deliver a new employee account disclosure application and system of record
Responsible for continued strengthening of the account disclosure and review process including finding new ways to increase efficiency
Work on special projects and provide coverage as needed to other areas within the Personal Account Dealing team as needed
Perform managerial oversight activities for the PAD Team as a delegate of PAD managers
Update and write new desk procedures
Partner with the ECO Control and Risk Assessment team on PAD Team metrics and controls work
Interface with Audit, Legal, and testing teams at Wells Fargo
Assist with developing support documentation, including FAQs, training, emails, attestation language, and support material for the employee inbox/phone line teams
Draft leadership updates on PAD Team work and projects
Collaborate and consult with peers, colleagues and managers and business partners to make decisions, resolve issues and achieve business objectives
Directly support and communicate with Operating Committee and Senior Executives for compliance requirements, operationalized by the PAD Team
Identify and recommend opportunities for process improvement and risk control development
Work with complex business units, rules and regulations on moderate to high-risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Work in a team environment, with a high volume of work, where multi-tasking with high attention to details and the ability to stay organized is important
Required Qualifications:
5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
Knowledge and understanding of personal account dealing/employee personal trade surveillance programs and the regulatory requirements that drive them Advanced experience writing desktop procedures
Advanced experience drafting Control language
Risk and Control Self-Assessment (RCSA) Program knowledge and experience
Proven experience working independently to lead complex projects from start to finish
Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Experience with creating presentations or executive summaries that are easy to read and understand while still summarizing complex ideas or projects
Knowledge and understanding of Investment Banking
Knowledge and understanding of Wealth Investment Management
Skilled at partnering with technology to develop application-based solutions to improve efficiency and reduce risk
Experience working with all levels of employees, including senior executives and operating committee members
Experience presenting to and working with audit and testing teams
Experience developing partnerships and collaborating with other business and functional areas
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Excellent analytical skills with high attention to detail and accuracy
Experience with testing, self-assurance or managerial oversight activities
Experience with training other employees
Advanced written, verbal, and interpersonal communication skills
A BS/BA degree or higher in business, accounting, finance, or economics
Job Expectations:
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 comply 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.
Posting End Date:
9 Feb 2025
*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, status as a protected veteran, or any other legally protected characteristic.
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Req Number: R-432317
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Wells Fargo
Job Hiring / CHARLOTTE, NC / Lead Compliance Officer -Personal Account Dealing Team (“PAD”) / Wells Fargo >> APPLY/LEARN MORE >> https://de.jobsyn.org/9d5e0e72dad44ddda5a1dc1bd9e65d3c8003 >> #job #jobs #hiring #BGJobs
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US Work-eligible
CHARLOTTE, NC
