Senior Compliance Specialist

About this role:

Wells Fargo is seeking a Senior Compliance Specialist to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team, the Senior Compliance Specialist will lead several critical tasks required to support the development and maintenance of Wells Fargo’s regulatory inventory, as well as the management and implementation of regulatory changes. Learn more about the career areas and lines of business at wellsfargojobs.com.

The Senior Compliance Specialist will be responsible for writing regulatory change alerts and publishing them in the EARL 2.0 database, in accordance with the Regulatory Change Management Policy.

In this role, you will:

• Support the company’s enterprise regulatory change management program.
• Review and summarize domestic and international legislation and regulations for all areas of the Company. 
• Perform research and summarize regulations, legislation, and other regulatory issuances to help ascertain potential compliance requirements applicable to the Company; preparing high-level summaries of applicable provisions; and ensuring proper notification of regulatory changes to stakeholders based on an understanding of the Company’s lines of business and inventory of compliance requirements. 
• Prepare reports of regulatory changes.

Required Qualifications, US:

• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Licensed attorney
• Ability to research laws and regulations and draft summaries describing how they potentially apply to WF Businesses
• Strong attention to detail and accuracy skills
• Excellent verbal, written, and interpersonal communication skills
• Experience preparing memoranda for attorneys and business leaders
• Ability to effectively organize and prioritize work while handling multiple matters
• Ability to work effectively in a complex environment with a high degree of collaboration
• Knowledge of legislative and regulatory processes

Job Expectations:

• Ability to travel up to 5% of the time
• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule
• This position is not eligible for Visa sponsorship
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Job Locations:

• 401 S Tryon Street, Charlotte, NC
• 250 E John Carpenter Frwy, Irving, TX
• 600 S 4th Street, Minneapolis, MN

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.

Posting End Date:

*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.

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.