Wells FargoPhoenix, AZa month ago
Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.
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.
As the company's second line of defense, Corporate Risk — or Independent Risk Management — provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo's risk management program and provides oversight, including challenges to and independent assessment of, the frontline's execution of its risk management responsibilities. We manage risk according to the Risk Management Framework and ensure all employees understand their individual accountability for managing risk. Corporate Risk roles depend on a variety of skills, including: Data analysis and synthesis, root cause analysis, change management, process management & execution, risk governance, risk strategy, risk identification & assessment, risk prevention, controls & mitigation, risk monitoring, reporting & escalation, risk systems & technology.
The Compliance Officer will be required to build strong relationships with risk peers/partners; key business and staff group partners; and senior level management in each Business and the Enterprise Functions group communities, providing subject matter expertise in the customer tax regulatory compliance arena.
Specific duties for this position include, but are not limited to:

  • Perform activities required under the Wells Fargo Compliance Program Policy and related policies and procedures

  • Support management and oversight of regulatory sources

  • Review Major Requirements in SHRP (program work/MRE creation)

  • Provide SME advice on Major Compliance Requirements

  • Review legal regulatory alerts and regulatory requirements, and work with the business to determine applicability to lines of businesses and support functions, and assist with control creation or update

  • Participate in applicable Business Process Mapping

  • Monitor issues management, self-assurance activities, policy implementation, business compliance procedures

  • Review and credibly challenge compliance related business process management, procedure, projects, and business specific controls

  • Review T&V test scripts

  • Review & credibly challenge third-party IRQs & CRRA

  • Escalate (as necessary) issues, emerging risks, Key Indicator breaches, and Notable/Focus Items

  • Provide advice, direction & credible challenge to corrective action plans, root cause, related regulatory sources & policies, risk type, risk level and risk acceptance for Compliance related front-line issues

  • Review & credibly challenge Compliance issue due date extension requests

  • Participate in enterprise/cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans

  • Review new Wells Fargo policies and changes to existing policies to determine applicability to laws and regulations supported

  • Support internal testing, audits or regulatory examinations as needed, including review of test scripts for testing programs managed by Testing and Validation teams

  • Collaborate effectively with Front Line partners, Operational Risk, Legal and other partners

  • Assist team members with ad hoc assignments

Required Qualifications

  • 7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy

Other Desired Qualifications

  • Knowledge of and oversight of regulations and processes related to the tax documentation, withholding and reporting requirements applicable to financial institutions.

  • Significant experience in analyzing, complex compliance problems and developing and operationalizing solutions

  • Significant experience/knowledge in the operation of compliance programs at a large financial services institution.

  • Experience managing compliance-driven initiatives and / or processes which require close partnership with compliance and / or audit functions

  • Experience with enterprise-wide change management initiatives, infrastructure and technology enablement, and driving / balancing strategic needs with competing priorities

  • Ability to communicate effectively, in both written and verbal formats, with senior executive-level leaders

  • Effective at driving successful execution of plans; ability to plan, prioritize, and set goals

  • Demonstrated ability to build and maintain strong credible relationships with key stakeholder groups including management, regulators, front line businesses, and enterprise functions

  • Ability to work in a dynamic environment, and adjust to changing priorities

Director, Compliance Audit

Banner Health

Phoenix, AZ

21 hours ago
This includes directing investigations and monitoring compliance activiti...
Corporate Compliance Officer (Healthcare)

Arizona Center for Cancer Care

Scottsdale, AZ

20 hours ago
The corporate compliance officer position establishes and implemen...
Chief Compliance and Quality Officer

Arizona's Children Association

Phoenix, AZ

2 days ago
Coordinates and monitors internal compliance review activities. Performs ...
Director Of Compliance - Financial Institutions Group


Phoenix, AZ

2 days ago
Preparing and / or reviewing compliance reports. Strong understanding of ...
Grant and Contract Compliance Officer

Salt River Pima-Maricopa Indian Community

Scottsdale, AZ

3 days ago
Post award compliance management. Adhere to 2 CFR part 200 appendix that ...
VP, BSA Officer - (Remote Eligible in MO, KS, NM, AZ)

Enterprise Bank & Trust

Phoenix, AZ

3 days ago
Sufficient knowledge to resolve and answer complex compliance questions t...
Director of Compliance

Embry Health

Phoenix, AZ

3 days ago
Develop and maintain a compliance calendar. You will maintain and improve...
Compliance Officer

IronRod Health

Phoenix, AZ

6 days ago
Develops and implements education programs addressing compliance issues. ...
Engineering Contracts/Grants Compliance Officer

City of Mesa, AZ

Mesa, AZ

13 days ago
The Engineering Contracts/Grants Compliance Officer performs a var...
Compliance Officer - Employee Conduct & Conflicts

Wells Fargo

Tempe, AZ

9 days ago
7+ years of experience in risk management (includes compliance, financial...
Associate Director, DOT Compliance


Tempe, AZ

10 days ago
Proven focus on innovative compliance activities. Provide monthly reports...
Director of Quality and Compliance

Valle del Sol, Inc.

Phoenix, AZ

8 days ago
This Director will oversee internal monitoring of quality and compliance ...
Director, Billing, Coding & Compliance

HOPCo | Healthcare Outcomes Performance Company

Phoenix, AZ

13 days ago
The SR Director Billing, Coding & Compliance is responsible for coding
Senior Compliance Officer

Western Alliance Bank

Phoenix, AZ

17 days ago
Stay current with regulatory compliance regulations, industry best practi...
Senior Compliance Officer

AmeriHome Mortgage

Phoenix, AZ

17 days ago
Stay current with regulatory compliance regulations, industry best practi...