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Compliance Manager 3
It starts with you. Our goal is to attract, develop, retain and motivate the most talented people - those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.
At Wells Fargo, we invest in our people. Our diverse lines of business offer unique opportunities to expand your knowledge and advance your career.
You’ve got the passion. You’ve got the skills. Are you looking for the next opportunity to learn and grow? At Wells Fargo, we offer a supportive environment where team members can cultivate their careers and make a difference within our company and the communities we serve.
Corporate Risk provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, this 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.
This position is in Retirement Compliance supporting Institutional Retirement and Trust (IRT) and Trust Operations. The candidate will supervise the execution of the compliance testing program in accordance with Corporate Regulatory Compliance Policy.
- Managing and developing a team of Compliance Consultants who conduct compliance testing of functions and regulations across Retirement business lines. Compliance reviews are moderate to large in terms of size and complexity.
- Developing methods to review large populations of data for exceptions to regulations, policies and procedures.
- Ensuring Compliance Consultants develop appropriate scope of reviews, identify relevant risks and controls, design and execute proper control testing and accurately analyze and report results.
- Demonstrating professional skepticism and credible challenge; presenting results of compliance reviews in an objective and unbiased manner. Writing opinions reflecting relevant facts that lead to logical conclusions.
- Maintaining information on corporate operational risk systems and through periodic reporting that effectively reflects the current state of compliance.
- Establishing and developing relationships with senior management. Communicating review exceptions/findings timely and effectively.
- Developing relationships with Compliance leaders, Risk Partners, Regulators, WFAS, and Line of Business leaders in order to provide advice and guidance to the business lines.
- Be well versed in the products offered in Retirement, the inherent risks of such products and the policies, procedures and controls surrounding them.
- Participating in other projects/activities to further the compliance testing program.
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through our many locations, ATMs, the internet (wellsfargo.com) and mobile banking. To learn more, Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.
- 8+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
- 3+ years of management experience
- Advanced Microsoft Office skills
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical skills with high attention to detail and accuracy
- Ability to articulate complex concepts in a clear manner
Other Desired Qualifications
- Working knowledge of Institutional Retirement & Trust and Trust Operations business lines
- Experience with ERISA, Regulation 12 CFR. 9 and/or other regulations that pertain to fiduciary business activities.
- Advanced degree (MBA) or certification (CPA, CIA, etc.)
- Certified Fiduciary and Investment Risk Specialist (CFIRS), Certified Retirement Services Professional (CRSP), Certified Securities Operations Professional (CSOP) or similar designation
NC-Charlotte: 401 S Tryon St - Charlotte, NC
MN-Minneapolis: 550 South 4th St - Minneapolis, MN
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
Visit wellsfargo.com/careers and search by the Job ID # 5314261 to apply.
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. © 2016 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.