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Lead Compliance Officer Swap Dealer - Charlotte, United States - Wells Fargo
Description
**Lead Compliance Officer Swap Dealer**
Location: Charlotte, North Carolina **Job ID** R At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
**About this role:**
Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Compliance. Learn more about the career areas and lines of business at . This role supports the Compliance Program for the Wells Fargo Bank National Association Swap Dealer. The Swap Dealer is a heavily regulated entity with oversight by the Commodity Futures Trading Commission and National Futures Association. Will support the execution and enhancement of this program.
****In this role, you will:****
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
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 CRF 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.
****Required Qualifications, US:****
5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
****Desired Qualifications:****
Outstanding problem solving and decision making skills
Experience in problem analysis, solution implementation, and change management
Ability to exercise independent judgment to identify and resolve problems
Ability to deliver multiple concurrent projects or large scale individual projects
Excellent verbal, written, and interpersonal communication skills
Strong collaboration and partnering skills
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Strong organizational, multi-tasking, and prioritizing skills
Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Risk or regulatory compliance experience in a financial services, audit, or regulatory organization
Proficiency in assessing and documenting a Compliance Program
Experience with Swap Dealer regulations
Ability to collaborate with others, initiate action, challenge others, make difficult decisions, generate creative solutions, achieve results, and accept challenging assignments
Ability to interpret new rules and determine affected areas within the firm
****Job Expectations:****
Willingness to work on-site at stated location on the job opening
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 units 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, or status as a protected veteran.
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.
LocationEducation Level