Job
Description
About this role: Wells Fargo is seeking a Senior Compliance Specialist In this role, you will: 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 Provide oversight and monitoring of risk-based compliance programs Develop and oversee standards Provide subject matter expertise with comprehensive knowledge of business and functional area Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management Provide direction to the business on developing corrective action plans and effectively managing regulatory change Provide compliance risk expertise Consult for projects and initiatives with moderate risk for a business line Identify and recommend opportunities for process improvement and risk control development Provide direction to the business on developing corrective action plans and effectively managing regulatory change Report findings and make recommendations to management appropriate committees 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 risk compliance matters Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Solid familiarity with testing, monitoring, audit, internal control testing or equivalent Basic knowledge of Wealth and Investment Management products, services, and regulatory requirements Strong ability to analyze data and control-based output to reach effective monitoring conclusions Excellent verbal, written, and interpersonal communication skills Ability to articulate complex concepts in a clear manner BS/BA degree or higher Job Expectations: Solid familiarity with testing, monitoring, audit, internal control testing or equivalent Basic knowledge of Wealth and Investment Management products, services, and regulatory requirements Strong ability to analyze data and control-based output to reach effective monitoring conclusions Excellent verbal, written, and interpersonal communication skills Ability to articulate complex concepts in a clear manner BS/BA degree or higher
