Compliance Manager Control Manager

Job Description

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.