Wells Fargo is seeking a Senior Compliance Specialist to join the Complaints Oversight team as part of Independent Risk Management. Learn more about the career areas and business divisions at wellsfargojobs.com .
Complaints Oversight maintains and oversees adherence to the Complaints Management Policy. The Senior Compliance Specialist will be responsible for evaluating businesses' adherence to requirements of the Complaints Management Policy; Performing reviews focused on identifying root causes for complaints; and Evaluating complaint trends and challenge root causes to identify weaknesses in controls and business processes.
In this role, you will:
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
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Provide compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line
Identify and recommend opportunities for process improvement and risk control development
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management appropriate committees
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 risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
1 + years' advanced knowledge/experience working in Complaints Management Policy and related governing documents.
Experience with Complaints Monitoring Program.
1 + years' experience in analyzing complaint data and identifying the root cause of complaints.
Experience with Independent Risk Management Programs including Operational Risk and Compliance.
Ability to exercise independent judgment to identify and resolve problems
Experience providing leadership, strategic guidance, and credible challenge of conduct risk programs to identify, assess and mitigate risks across the enterprise in alignment with Risk Management framework.
Highly motivated self-starter able to be successful in a working environment that requires flexibility and independence with ambiguous situations and constant change to achieve desired outcome/objectives.
Ability to work in a dynamic work environment with multiple priorities and strict timelines and able to organize and prioritize work for responsiveness, efficiency and on-time delivery.
Experience communicating and presenting complex information to multiple levels of the organization.
Microsoft Office experience (MS Word, MS Excel, MS PowerPoint).
Job Expectations:
Locations:
TX-Irving: 250 E John Carpenter Frwy - Irving, TX
NC-Charlotte: 401 S Tryon St - Charlotte, NC
IA-West Des Moines: 800 S Jordan Creek Parkway - West Des Moines, IA
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
Posting End Date: 12 Oct 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.
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.