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Compliance Officer - AML Compliance

Company: Wells Fargo
Location: Irving
Posted on: June 8, 2021

Job Description:

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

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

As the company's second line of defense, Corporate Risk - or Independent Risk Management - provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo's risk management program and provides oversight, including challenges to and independent assessment of, the frontline's execution of its risk management responsibilities. We manage risk according to the Risk Management Framework and ensure all employees understand their individual accountability for managing risk.

Within Wells Fargo Advisors (WFA) Compliance, the Anti-Money Laundering team is responsible for developing, implementing and monitoring a risk-based compliance program to ensure that all internal service level agreements, standards, regulatory requirements and policies associated with the Bank Secrecy Act, USA PATRIOT Act and Economic Sanctions laws and regulations are met and proper controls are in place and effective to the WFA AML Program.

The AML Compliance Officerwill partner with AML Compliance staff, other Compliance functions, Business Units/Channels, and other internal groups to proactively identify, monitor and implement opportunities for continuous process improvement for AML controls that reside within WFA to ensure the AML program is operating effectively. The AML Compliance Officer must maintain current knowledge of the external regulatory environment and internal operational environment to continuously asses both external and internal impacts to the AML Program. Provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk, often spanning multiple business lines. Works with complex business units,rules and regulations on moderate to high risk compliance matters. The AML Compliance Officer monitors and independently credibly challenges the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management. The AML Compliance Officer will be responsible for oversees the Front Line's execution and challenges appropriately on compliance related decisions. The AML Officer will be responsible for leading key projects as the SME and providing oversight to team work and initiatives.

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

  • Excellent verbal, written, and interpersonal communication skills
  • Advanced Microsoft Office skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to influence and collaborate at all internal organizational levels
  • A BS/BA degree or higher

Other Desired Qualifications

  • Experience with developing or assisting with programs designed to adhere to BSA/AML/OFAC laws and regulations in retail brokerage environment
  • Strong knowledge of regulatory risks and controls related to BSA/AML/OFAC laws and regulations in retail brokerage environment
  • Strong relationship and project management skills
  • Prior, proven experience interfacing with financial institution auditors and regulatory authorities
  • CAMS or other professional certification (CPA, CIA, Series 7, CRCM)
  • BSA/AML/OFAC Regulatory Compliance in large, diverse financial institutions
  • Federal or State Law Enforcement Pertaining to White-Collar Crime
  • Federal or State Financial Institution Regulatory Oversight pertaining to BSA/AML Compliance
  • Internal Auditing of BSA/AML/OFAC Programs for large, diverse financial institutions

Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

NC-Charlotte: 128 South Tryon Street - Charlotte, NC

NC-Charlotte: 301 S College St - Charlotte, NC

NC-Charlotte: 401 S Tryon St - Charlotte, NC

NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC

SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC

TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX

TX-Irving: 250 E John Carpenter Freeway - Irving, TX

TX-Plano: 4975 Preston Park Blvd - Plano, TX

IA-Des Moines: 206 8th St - DES MOINES, IA

IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA


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.

Benefits Summary


Visit for benefits information.

Keywords: Wells Fargo, Irving , Compliance Officer - AML Compliance, Other , Irving, Texas

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