Wells Fargo Lead Compliance Officer 

United States, North Carolina, Charlotte 

637768035

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

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:

• Experience interpreting and applying state, federal, and agency legal and regulatory compliance requirements specific to Reg B, Reg W, Reg O and/or Deposit regulations
• Bank regulatory experience
• Experience in Commercial Banking
• Experience in risk management and regulatory compliance
• Knowledge and understanding of lending policies, regulations, and compliance
• Active Certified Regulatory Compliance Manager (CRCM) designation
• Knowledge and understanding of all relevant laws and regulations, current regulatory guidance, and all enterprise policies and procedures relating to marketing and business materials for unsecured credit products including credit cards, co-brand cards, core benefits, rewards, personal loans, small business credit cards, and retail services products.

Posting Locations:

• 401 S. Tryon Street - Charlotte, North Carolina
• 600 Wells Fargo - Minneapolis, Minnesota

Job Expectations:

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

8 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.