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Senior Compliance Specialist, Allegation Management

Company: Wells Fargo
Location: Irving
Posted on: November 27, 2022

Job Description:

About this role: Wells Fargo is seeking a Senior Compliance Specialist in Corporate Risk as part of Compliance Conduct Risk. Learn more about the career areas and lines of business at . 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 Senior Compliance Specialist role is part of the Allegation Independent Monitoring Group (AIMG) that monitors and evaluates allegation management activities performed across the enterprise by AMTs executing various lifecycles of the allegation process. In this role, you will:

  • Monitor and evaluate allegation management activities performed across the enterprise by Allegation Management teams executing various lifecycles of the allegation process
  • 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
  • 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, 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:
      • Advanced Microsoft Office skills
      • Excellent verbal, written, and interpersonal communication skills
      • Experience communicating in both written and verbal formats with Management
      • Exceptional analytical skills with high attention to detail and accuracy
      • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Ability to collaborate across multiple lines of business supporting large scale initiatives
      • Experience maintaining or supporting Enterprise Policies
      • A professional risk designation such as a Certified Risk Compliance Manager (CRCM); Certificate in Operational Risk Management (ABA); Certified Risk And Compliance Management Professional (CRCMP); Certified Fraud Examiner (CFE); Certificate In Risk Management (CRMA); Certified Compliance & Ethics Professional (CCEP); Certified Risk Professional Program (CRP); or Insider Threat Program Evaluator (ITPE) Job Expectations:
        • Ability to travel up to 5% of the time
        • Willingness to work on-site at stated location on the job opening Posting Location:
          • Charlotte, NC
          • Irving, TX
          • Minneapolis, MN
          • West Des Moines, IA
          • Tempe, AZ
          • St. Louis, MO Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees. Job posting may come down early due to volume of applicants. We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. 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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. 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.

Keywords: Wells Fargo, Irving , Senior Compliance Specialist, Allegation Management, Executive , Irving, Texas

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