What are the responsibilities and job description for the Senior Compliance Specialist - Policy and Procedure position at WELLS FARGO BANK?
About this role :
Wells Fargo is seeking a Senior Compliance Specialist in Wells Fargo Compliance as part of the Compliance Policy Team. Learn more about the career areas and lines of business at wellsfargojobs.com .
This Senior Compliance Specialist will draft, finalize and publish Compliance policies and procedures, evaluate and assess adherence to policy requirements, collaborate across Wells Fargo Compliance and provide other compliance risk management activities across the enterprise.
In this role, you will :
- Draft and finalize Compliance policy and procedure content, particularly supporting broker-dealer policies, and working across key Compliance partners and subject matter experts following documented processes
- Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs
- Engage with the Enterprise Policy Office and senior compliance leadership in executing policy reviews and obtaining necessary approvals for Compliance policies and procedures
- Manage current and upcoming policy and procedure needs and publication timelines, strengthening oversight of processes and resource needs
- Develop, oversee, and provide independent challenge to policy content with subject matter expertise
- Facilitate the identification of needed education or awareness to support policy implementation across the firm
- Support Compliance policy implementation and ongoing monitoring for adherence
- 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
- Analyze and challenge regulatory and compliance activities in a complex organization.
- Partner, support, review and prepare compliance information and materials related to audit and regulatory requests.
- Build strong partnerships and collaborate effectively across front-line, independent risk management and key stakeholders
- Perform or assist with ad hoc assignments / projects
- Support ongoing governance over Compliance policies and procedures
- Be a champion of change and a force in developing the Compliance capabilities and culture required to properly provide compliance oversight and control for Wells Fargo
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.
84,000.00 - $149,400.00
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 : 17 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 : $84,000 - $149,400
