• Wells Fargo
  • $115,520.00 -203,160.00/year*
  • Saint Louis , MO
  • Legal
  • Full-Time

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Job Description

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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Wells Fargo Compliance is the company s compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

The Wealth and Investment (WIM) Cross LOB Compliance function is responsible for supporting compliance activities that impact multiple lines of business within Wealth and Investment Management. The team provides oversight of key policies/programs and collaborates with key leaders to ensure these policies/programs are implemented appropriately. In addition the team coordinates and provides executive level reporting regarding key compliance activities/metrics, collaborates with other Independent Risk Management (IRM) teams to oversee program requirements and partners with the Group Control Team to assist with manages regulatory interactions/exams conducted by prudential regulators (OCC, CFPB, etc.)

Wealth and Investment Management Cross LOB Compliance is seeking for two Compliance Consultants to join the Strategic Client Solutions Compliance team.

The Strategic Client Solutions Compliance team is responsible for providing compliance support to the Investment Contact Centers, Enterprise Partnerships referral program, project management and other strategic initiatives that impact multiple LOBs within Wealth and Investment Management.

The successful candidates will be responsible for managing the implementation and ongoing compliance program management activities within WIM Enterprise Referral Program, Initiative Management Corporate Policy and Investment Contact Center Compliance.

The candidates will work horizontally with WIM LOB Compliance and WIM Control Executive organizations, in fulfillment of ongoing responsibilities. The positions are expected to provide Senior Level compliance and project oversight to assigned business areas.

Specific duties include, but are not limited to:

  • Executing the key activities aligned with federal, state, agency, legal, policy, and regulatory requirements, credible challenges, compliance risk assessment, training needs analysis, provide input to Testing and Validation teams
  • Provide compliance risk expertise and consulting for projects and initiatives to mitigate compliance risk
  • Provide oversight and monitoring of corrective actions related to compliance risk issues identified within the business
  • Fostering a culture of positive collaboration, partnerships, and support with key stakeholders, and working with project teams as necessary to meet stated objectives and deliverables
  • Take on additional responsibilities, as assigned

Preferred locations for this position include Charlotte, NC; Minneapolis, MN; and Des Moines, IA. However, other Wells Fargo Hub locations may be considered.

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

Required Qualifications

  • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both

Desired Qualifications

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Leadership skills including the ability to influence effectively in a matrix environment
  • Ability to develop partnerships and collaborate with other business and functional areas
  • Strong organizational, multi-tasking, and prioritizing skills
  • Ability to prepare presentations, management reporting, and statistical analysis
  • Ability to take initiative and work independently with minimal supervision in a structured environment

Other Desired Qualifications
  • Foundational knowledge of Wealth and Investment Management and Consumer Banking
  • Professional certifications such as Certified Regulatory Compliance Manager (CRCM) or Certified Internal Auditor (CIA)

Job Expectations

  • Ability to travel up to 15% of the time

Street Address

NC-Charlotte: 401 S Tryon St - Charlotte, NC
IA-Des Moines: 666 Walnut St - Des Moines, IA
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
MN-Minneapolis: 600 S 4th St - Minneapolis, MN


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.

Associated topics: attorney, attorney corporate, company, compliance, counsel, courtroom, legal, legal affairs, legal department, market

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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