**About this role:**

Wells Fargo is seeking a **Lead** **Compliance Officer** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance.** Learn more about the career areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will be part of a centralized team that works with Business Aligned Compliance Officers and regulatory program owners who cover the various business areas in CIB and international regions.

**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

+ 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:**

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

**Desired Qualifications:**

+ Experience supporting Risk and Control Self-Assessment (RCSA) and other risk assessment activities

+ 3+ years of securities industry experience

+ Knowledge and understanding of Broker-Dealer regulatory requirements

+ Experience maintaining a risk program or regulatory program

+ Knowledge and understanding of risk management frameworks

+ Ability to prepare presentations and senior management reporting while analyzing data and making meaningful conclusions

+ Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders

+ Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

+ Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, LiveMeeting and SharePoint) skills

**Job Expectations:**

+ This position offers a hybrid work schedule

+ Willingness to work on-site at stated location on the job opening

+ 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.

**Pay Range**

$111,100.00 - $197,500.00

**Benefits**

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

+ 401(k) Plan

+ Paid Time Off

+ Parental Leave

+ Critical Caregiving Leave

+ Discounts and Savings

+ Health Benefits

+ Commuter Benefits

+ Tuition Reimbursement

+ Scholarships for dependent children

+ Adoption Reimbursement

**Posting End Date:**

30 Jun 2024

*** 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.

**Applicants with Disabilities**

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

**Drug and Alcohol Policy**

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

**Company:** WELLS FARGO BANK

**Req Number:** R-378099

**Updated:** Sat Jun 29 03:48:19 UTC 2024

**Location:** CHARLOTTE,North Carolina