Compliance Associate Manager

About this role:

Wells Fargo is seeking a Compliance Associate Manager

In this role, you will:

• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Lead a team of compliance specialists and senior specialists
• Perform quality check on the work performed by the team and provide timely feedback for process improvement
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Support the oversight or monitoring of a risk-based compliance program
• Provide support in developing and overseeing standards with some business and functional knowledge
• Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
• Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
• Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide support in reporting findings and drafting recommendations to management
• Support and implement initiatives with low to moderate risk
• Interact with team to support risk oversight and monitoring
• Manage and ensure accuracy of data
• Troubleshoot system issues to determine root cause
• Research and implement new regulatory rules and manage other team related projects
• Identify and recommend opportunities for process improvement and risk control development
• Establish and maintain effective relationships with various teams
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Interact with internal customers
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirement

Required Qualifications:

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

• Desired Qualifications:
• Law degree, Companies Secretary
• B.Com, MBA or M.Com with overall experience in Banking and Financial Services, in risk management (includes compliance, regulatory change management, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management)
• People Manager/Leadership experience
• Expertise in leading processes related to technology data entry
• Project management skills
• Ability to receive and provide directions to the team on using the SHRP Governance Management system (Archer platform)
• Coaching and training skills
• Excellent verbal and written communication skills
• Ability to articulate complex concepts in a clear manner
• Advanced Microsoft Office skills
• Good eye for detail and accuracy
• Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities
• Working knowledge on SharePoint would be an added advantage

Job Expectations:

• Ensure Regulatory changes and inventory related to laws, rules and regulations is maintained in the system of record as per the procedures
• Perform quality checks on the work performed by the team
• Manage International regulatory change management team
• Engage with Quality Assurance, Vendor partners, Legal and Compliance teams to discuss key process updates and clarify questions
• Coach and train junior resources in the team
• Monitor process KPIs, metrics and support in timely execution of the deliverables as per the agreed quality standards and procedures
• Drive process efficiencies
• Keep the process procedures up to date

Posting End Date:

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our 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.