Lead Compliance Officer- BACO COO Operations Shared Services Regulatory Operations.

Wells Fargo is seeking a Lead Compliance Officer to support the Compliance business aligned oversight of Wells Fargo's COO Operations Shared Services functions which includes Regulatory Operations.

This role provides the opportunity to apply subject matter expertise in industry and financial institution regulatory risk management. This role will support COO Compliance including the Licensing & Registration, Notary and Affiant, LMRDA, Cease & Desist and other COO shared services groups. This role will support all matters pertaining to Compliance Risk coverage and oversight. In this capacity, this role reviews and challenges significant Front Line compliance risk identification and mitigation.

In this role, you will :

• Oversee and challenge Regulatory Operations functions across all compliance risk routines including plan, identify and assess, control, and mitigate, test and validate, monitor and report
• Perform independent risk assessment of the operations functions, inclusive of emerging risks
• Use regulatory subject matter expertise and industry knowledge to provide independent oversight and credible challenge to the Line of Business' compliance risk management activities
• Active engagement in key risk governance routines inclusive of strategic planning sessions, governance committees and business reviews
• Engage with subject matter experts supporting various risk types and related business aligned oversight partners to execute oversight and challenge of Operations functions
• Develop and maintain relationships with Business Managers, Independent Risk teams, and Group Control Executive teams to drive change and improvement of risk management effectiveness.
• Build and sustain a strong risk culture including a balanced approach through working in cooperation and consultation with all lines of defense across the enterprise
• Leverage experience to bring industry leading standards, practices, and tools to the organization

Required Qualifications :

Desired Qualifications :

Job Expectations :

Job Posting Locations :

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

111,100.00 - $197,500.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

Posting End Date : 28 Feb 2025

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.

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.

Salary : $111,100 - $197,500