Compliance Manager - Control Room

About this role:

Wells Fargo is seeking a Compliance Manager

In this role, you will:

• Manage a team responsible for establishing, implementing and maintaining 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
• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
• Provide compliance risk and regulatory expertise for compliance program elements
• Recommend opportunities for process improvement and risk control development
• Manage coordination and communication with leadership regarding compliance risks
• Implement strategic initiatives with moderate risk and complexity
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

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

Desired Qualifications:

• Core control room / Information barrier management
•  Knowledge of market conduct regulations/policies, market abuse scenarios such as insider trading
• Risk & Compliance foundational / Intermediary knowledge

Job Expectations:

• Lead and support all activities of compliance control room
• Maintain firm's watch list & restricted list
• Provide research reviews on related regulatory requirements
• Facilitate / manage Information barrier crossings
• Lead a team of 8 to 10 senior individual contributors of control room

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our 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.