Lead Compliance Officer Swap Dealer

Lead Compliance Officer Swap Dealer

Location : Charlotte, North Carolina Job ID R-131108 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.

About this role :

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Compliance. Learn more about the career areas and lines of business at .

This role supports the Compliance Program for the Wells Fargo Bank National Association Swap Dealer. The Swap Dealer is a heavily regulated entity with oversight by the Commodity Futures Trading Commission and National Futures Association.

Will support the execution and enhancement of this program.

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

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 CRF 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.

Required Qualifications, US :

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

Desired Qualifications :

• Outstanding problem solving and decision making skills
• Experience in problem analysis, solution implementation, and change management
• Ability to exercise independent judgment to identify and resolve problems
• Ability to deliver multiple concurrent projects or large scale individual projects
• Excellent verbal, written, and interpersonal communication skills
• Strong collaboration and partnering skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Strong organizational, multi-tasking, and prioritizing skills
• Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Risk or regulatory compliance experience in a financial services, audit, or regulatory organization
• Proficiency in assessing and documenting a Compliance Program
• Experience with Swap Dealer regulations
• Ability to collaborate with others, initiate action, challenge others, make difficult decisions, generate creative solutions, achieve results, and accept challenging assignments
• Ability to interpret new rules and determine affected areas within the firm

Job Expectations :

Willingness to work on-site at stated location on the job opening

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 units 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, or status as a protected veteran.

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.

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