- Provide leadership and guidance to Private Wealth Investments and Bank trading desk on various regulatory and policy requirements covering investments and trading activities for agency and trust accounts.
- Perform assessment and challenge the control environment covering investments and trading activities for agency and trust accounts to help ensure adequate design for regulatory compliance.
- Provide oversight and monitoring of business group risk-based compliance programs
- Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
- Provide direction to the business on developing corrective action plans and effectively managing regulatory change
- Report findings and make recommendations to management and appropriate committees
- Identify and recommend opportunities for process improvement and risk control development
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
- Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Oversee the Front Line's execution and challenges appropriately on compliance related decisions
- 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
- Work with complex business units, rules and regulations on moderate to high risk compliance matters
- Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
- 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Expert knowledge of the Federal and state regulations applicable to investments and trading activities for agency and trust accounts of a National Bank including Prudent Investor regulations and OCC Parts 9 and 12
- Expert knowledge of overseeing the activities of a Bank trading desk, including Best Execution, Trading with Affiliates, and other fiduciary conflicts of interest
- Experience translating and presenting complex information in a manner that educates, enhances understanding and influences decisions
- Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals
- Ability to travel up to 5% of the time
- This position offers a hybrid work schedule
- This position is not eligible for VISA sponsorship
- Job posting may come down early due to volume of applicants.
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Lead Compliance Officer - Charlotte, United States - Wells Fargo
Description
About this role:
Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Wealth & Investment Management (WIM) Compliance.
Learn more about the career areas and business divisions at This Lead Compliance Officer will provide compliance leadership and guidance to the Private Wealth Investments team and the Bank trading desk.
In this role, you will:
Required Qualifications, US:
Desired Qualifications:
Job Expectations:
Posting End Date:
7 May 2024
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Lead Compliance Officer professionals in Charlotte
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Lauren Holmes
Service-oriented individual pursuing careers in international education
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Lisa Miller
Scrum Master | PSM, SAFe 5