Compliance Manager jobs in Mesa, AZ

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 manage a team responsible for establishing, implementing, and maintaining the regulatory inventory of U.S. federal, and state regulatory requirements. You will provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements. This role will also require you to mentor and guide talent development of direct reports and provide direction to a team of Compliance Officers responsible for organizing a high volume of U.S. state laws, rules, and regulations. Learn more about the career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• Manage a team responsible for establishing, implementing and maintaining 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
• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
• Provide compliance risk and regulatory expertise for compliance program elements
• Recommend opportunities for process improvement and risk control development
• Manage coordination and communication with leadership regarding compliance risks
• Implement strategic initiatives with moderate risk and complexity
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

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:

• 4 years of Commercial Banking, Corporate & Investment Banking, or Wealth & Investment Management experience
• Juris Doctorate or 5 years of financial related paralegal experience
• 1 year experience & understanding of how legal and regulatory information is applicable to Wells Fargo business activity
• 1 year experience in analyzing laws, regulations, and other compliance data
• 2 year experience with managing team members & direct reports
• 2 year experience consulting, influencing and partnering with business executives, leadership and peers
• 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
• Experience with 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) reflect the updated requirements;
• Ability to partner 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;
• Collaborate 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;
• Ability to collaborate with various vendors to ensure that the organization of laws, rules and regulations (where they've been grouped at either the state or international levels) is appropriately and accurately ingested for downstream consumption;
• Lead 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;
• Onboard, train and support 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.

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• This position offers a hybrid work schedule

Posting Locations:

• 114 N Beaumont St Bldg D SAINT LOUIS, MO
• 250 E John Carpenter Frwy IRVING, TX
• 401 S Tryon St, CHARLOTTE, NC
• 1150 W Washington St TEMPE, AZ
• 7001 WESTOWN PKWY WEST DES MOINES, IA
• 600 S 4th St, Minneapolis, MN

• Job posting may come down early due to volume of applicants
• Required location(s) listed above. Relocation assistance is not available for this position.

Posting End Date:
8 Jan 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 .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.