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 requirementsOversee the Front Line's execution and challenges appropriately on compliance related decisionsProvide oversight and monitoring of risk-based compliance programsDevelop and oversee standardsProvide subject matter expertise with comprehensive knowledge of business and functional areaProvide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional areaMonitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk managementProvide direction to the business on developing corrective action plans and effectively managing regulatory changeProvide compliance risk expertiseConsult for projects and initiatives with moderate risk for a business lineIdentify and recommend opportunities for process improvement and risk control developmentProvide direction to the business on developing corrective action plans and effectively managing regulatory changeReport findings and make recommendations to management appropriate committeesInterpret policies, procedures, and compliance requirementsCollaborate and consult with peers, colleagues and managers to resolve issues and achieve goalsWork with complex business units, rules and regulations on moderate risk compliance mattersReceive 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:

Strong attention to detail and commitment to high quality deliverablesFast learner with the ability to understand and apply complex compliance guidanceStrong organizational and time management skills with the ability to manage multiple prioritiesStrong communicator with the ability to allow collaborate across teams and functionsCritical thinking and problem-solving skillsExperience or familiarity with compliance, controls, or risk preferredAbility to work independently while also contributing to team efforts

Job Expectations:

Key responsibilities for Monitoring Activities

Support the governance of compliance monitoring activities across the programPerform quality reviews of monitoring results and activities to ensure accuracy, consistency, and completenessMaintain and update monitoring documentation and procedures regularlyDevelop and deliver recurring and ad hoc monitoring reports for stakeholders and senior leadershipPartner with compliance officers to understand risks tied to monitoring activitiesAssist in implementing guidance or changes to monitoring standards, templates, and proceduresExecute monitoring activities at defined frequencies and aligned with documented monitoring plansProvide support to compliance officers and monitoring leads by collecting, reviewing, and organizing relevant information for assessmentsEnsure monitoring activities and outputs are timely, well documented, and audit readyKey responsibilities for GRC activities

Team member is responsible for managing reporting across multiple lines of business within Corporate and Investment Banking (“CIB”) Compliance. This role requires a strong understanding of the Shared Risk Platform (“SHRP”) Compliance Program Policy, Regulatory Change Management Policy, and related procedures, also ensuring the accuracy and integrity of data within the SHRP system of record, particularly data associated with Major Requirement Evaluations, but also Regulatory Inventory. The Compliance Officer will also oversee reporting processes and coordinate with CIB Business-Aligned Compliance Officers (“BACOs”) to ensure timely updates and data maintenance.

Posting End Date: 

19 Aug 2025

*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.