Compliance Officer-Conduct Risk Oversight

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.  In order to receive text message invitations, your profile must include a mobile phone number designated as ‘Personal Cell’ or ‘Cellular’ in the contact information of your application.

At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Compliance Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company’s values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line’s adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.

This Compliance Officer role is responsible for oversight within the Consumer and Small Business Banking line of business support for conduct risk – inclusive of sales practices, insider threat, ethics, and internal fraud.  Role will assess business risk, mitigation controls, issues, and reporting. 

Required Qualifications

• 7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

Desired Qualifications

• Ability to influence executive decision-making and successfully negotiate critical issue resolution related to program initiatives
• Ability to assess issues, make quick decisions, implement solutions, and influence change
• Advanced Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to articulate complex concepts in a clear manner
• Financial services industry experience
• Experience communicating in both written and verbal formats with senior executive-level leaders
• Strong collaboration and partnering skills
• Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Experience driving and leading organizational change in a dynamic environment
• Ability to work across multiple lines of business leading large scale initiatives
• An active Certified Regulatory Compliance Manager (CRCM) designation

Other Desired Qualifications

Understanding of risk management frameworks, and processes to identify, measure, monitor and report on Conduct risks

•  Strong knowledge of processes, controls and best practices within Consumer and Small Business Banking groups including Contact Center, Branch Network, Small Business Banking, Operations, Marketing and Customer Strategy
• Demonstrated ability to work collaboratively with cross-functional stakeholders and colleagues at all levels
• Strong analytical skills with high attention to detail and accuracy including data analysis, process design, problem solving, and ability to synthesize information from various sources
• Certified Fraud Examiner (CFE)
• Certificate in Operational Risk Management (ABA)
• Certificate In Risk Management (CRMA)
• Certified Risk And Compliance Management Professional (CRCMP)
• Certified Compliance & Ethics Professional (CCEP)
• Certified Risk Professional Program (CRP)
• Six Sigma Certification
• Project Management Professional (PMP)

Job Expectations

• Ability to travel up to 10% of the time
• Willingness to work on-site at stated location on the job opening

Street Address

AZ-PHX-Central Phoenix: 100 W Washington St – Phoenix, AZ
AZ-Chandler: 2700 S Price Rd – Chandler, AZ
MN-Minneapolis: 2650 Wells Fargo Way – Minneapolis, MN
AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln – Phoenix, AZ
NY-New York: 150 E 42nd St – New York, NY
TX-Irving: 250 E John Carpenter Freeway – Irving, TX
TX-Plano: 4975 Preston Park Blvd – Plano, TX
TX-DAL-Downtown Dallas: 1445 Ross Ave – Dallas, TX
NJ-Summit: 190 River Rd – Summit, NJ
NC-Charlotte: 401 S Tryon St – Charlotte, NC
MO-Saint Louis: 1 N Jefferson Ave – Saint Louis, MO
IA-Des Moines: 206 8th St – DES MOINES, IA
MN-Saint Louis Park: 435 Ford Rd – Saint Louis Park, MN

Disclaimer

All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.