Compliance Manager – RCIM Compliance Regulatory Library Management in CHARLOTTE, North Carolina

About this role:

Wells Fargo is seeking a Compliance Manager to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team, this role will be responsible for leading critical tasks required to support the development and maintenance of Wells Fargo’s regulatory inventory, as well as the management and implementation of regulatory changes. Learn more about the career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) .

In this role, you will:

• Manage a team responsible for establishing, implementing, and maintaining the regulatory inventory of U.S. federal, state, and international legal and regulatory requirements.

• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements.

• Mentor and guide talent development of direct reports and assist in hiring talent.

• Providing direction to a team of Compliance Officers responsible for organizing a high volume of predominantly U.S. state laws, rules, and regulations (though responsibility also extends to similar activities for international laws).

• Actively participating in the firm’s efforts to build and maintain the regulatory compliance inventory and ensuring that as state laws change, the firm’s “Major Compliance Requirements” (MCRs) are evaluated in a timely and accurate manner to determine downstream impacts within the Regulatory Change Management process.

• Partnering effectively and efficiently with Business-Aligned and Horizontal Compliance Officers to understand the firm’s processes, products/services for purposes of determining firm-wide applicability.

• Collaborating with Regulatory Librarians, Legal, Compliance Technology, and other downstream impacted stakeholders to ensure that as new state law topics are “built,” the groupings meet internal standard MCR standards and will be conducive for clearly determining applicability and control alignment.

• Collaborating with various vendors to ensure that the organization of laws, rules, and regulations (where they have been grouped at either the state or international levels) is appropriately and accurately ingested for downstream consumption.

• Leading various clean-up and reconciliation activities to re-organize/consolidate MCRs, as needed; prioritize work in a risk-based manner with clear communication to impacted stakeholders.

• Onboarding, training, and supporting new contractor resources as their contract terms expire; ensure resources have the appropriate skills and experience to perform ongoing build and maintenance in partnership with Regulatory Librarians.

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

• 2+ years of Leadership experience

Desired Qualifications:

• Regulatory Change Management experience

• Direct management or cross-matrixed leadership experience

• Proficient knowledge in non-compliance risk coverage

• Juris doctorate preferred

• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses

• Experience with Wells Fargo internal risk systems such as SHRP

• Experience in analyzing laws and regulations and other compliance data and non-compliance risk types

• Experience developing improvement processes and implementation strategies

• Experience consulting, influencing, and partnering with business executives, leadership, and peers

• Strong analytical skills with high attention to detail and accuracy to ensure accuracy of risk and compliance system of record

• Solid problem solving and relationship management skills

• Experience communicating in both written and verbal formats with senior executive-level leaders through use of advanced Microsoft Excel and PowerPoint skills

Job Expectations:

• Locations: 401 S Tryon St – Charlotte, NC

• This position offers a hybrid work schedule

• Required location(s) listed above. Relocation assistance is not available for this position.

• This position is not eligible for Visa sponsorship

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Posting End Date:

3 Dec 2024

*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, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) 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.

Req Number: R-419695