Finding the best job has never been easier
Share
In this role, you will:
Provide oversight and governance of the Public Finance Investment Banking business.
Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
Oversee Public Finance’s execution and challenges appropriately on compliance related decisions.
Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
Work with Public Finance, a complex business unit, on rules and regulations on all compliance matters, including moderate to high-risk compliance matters.
Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
Provide direction to the Public Finance business on developing corrective action plans and effectively managing regulatory change.
Develop, oversee, and provide expert business and regulatory compliance functional knowledge
Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over the Public Finance business.
Provide regulatory compliance risk expertise for political “pay to play” across CIB.
Identify and recommend opportunities for process improvement and risk control development.
Consult and engage business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management or directors and appropriate committees
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.
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
Required Qualifications, US:
7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
Experience in executing compliance programs, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training.
Expert-level knowledge of the Applicable Rules and associated compliance programs; experience in Bank Dealer and Broker-Dealer, including MSRB, SEC and FINRA regulations.
Understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.
Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track record for delivering results.
Ability to lead, ensuring proper staffing and expertise, and manage the establishment of major policies and relevant compliance programs for a business division within a large and complex organization.
Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters involving Public Finance.
Oversees the development of reporting on the state of compliance in Public Finance.
Oversee, credibly challenge, and assess Public Finance with respect to managing and mitigating compliance risk and establish processes to ensure effective and timely implementation of regulatory change requirements applicable to the group.
Direct the implementation of effective compliance strategies to assess key risks in Public Finance and anticipate regulatory issues; and identify opportunities to simplify and drive consistency of solutions to strengthen compliance risk management.
Support effective coordination of compliance-related regulatory examinations in Public Finance and maintain effective relationships with all associated regulators.
Lead and actively participate as a key member and compliance representative on various Public Finance-based governance committees.
Foster an environment that ensures strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance, and credible challenge.
Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.
Job Locations:
Pay Range
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit for an overview of the following benefit plans and programs offered to employees.
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
These jobs might be a good fit