Wells Fargo Lead Compliance Officer - Regulatory Change & Inventory Management 

United States, North Carolina, Charlotte 

315580990

In this role, you will:

• Manage and maintain an inventory of companywide regulatory citations for the compliance regulatory change management program element.
• Review change alerts and complete impact assessments to determine if a regulatory change affects the regulatory inventory.
• Add and revise Major Compliance Requirements (MCRs) within the compliance system of record, summarizing applicable and actionable requirements, drafting new or modified MCR Summaries using the appropriate format in the MCR Style Guide; inclusive of when changes are triggered by regulatory change or other events.
• Populate and conform citations for inclusion in the citation grid for use by Enterprise Testing and Validation.
• Maintain required fields in the compliance system of record, inclusive of the foundational components.
• Partner with the Legal Department on finalizing draft MCR summaries leveraged by partners in Compliance, the Legal Department and front-line.
• Consult with Business Aligned Compliance Officers (BACOs) when updating the regulatory inventory.
• Work with complex business units, rules and regulations on moderate to high-risk compliance matters.
• Leverage various compliance technology systems to perform daily tasks.
• Provide support and guidance to Compliance Officers in regard to all aspects of the regulatory change management process.
• Maintain scope documents for the Compliance teams, documenting periodic updates needed to their business rules in the regulatory change system of record and coordinating the system updates.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
• Provide concise written responses to requests from Internal Audit or other partners, as needed.
• Interface with risk officers across all risk types, Internal Audit, and the Legal Department.

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Juris doctorate preferred.
• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses.
• 5+ years of experience in reviewing laws and regulations and preparing written analysis and memoranda for attorneys, business leaders, and impacted stakeholders.
• Solid problem solving and analytical skills with high attention to detail and accuracy.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to effectively organize and prioritize work while handling multiple deliverables.
• Ability to work effectively in a complex environment with a high degree of collaboration.

Locations:

• 401 S Tryon Street, Charlotte, NC
• 250 E John Carpenter Frwy, Irving, TX
• 600 S 4th Street, Minneapolis, MN 55415
• 800 S Jordan Creek Pkwy, West Des Moines, IA 50266
• 114 N Beaumont Street Bldg D, Saint Louis, MO 63103
• ​Required location(s) listed above. Relocation assistance is not available for this position.
• ​This position offers a hybrid work scheduled.
• This position is not eligible for Visa sponsorship.
• 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 CFR 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.
• Specific compliance policies may apply regarding outside activities and/or personalinvesting; affectedemployees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range

$111,100.00 - $197,500.00

19 Apr 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.