Compliance Officer - Client Services, Issue Management and Escalations Details

Compliance Officer - Client Services, Issue Management and Escalations

Wells Fargo - Dallas, TX

Employment Type : Full-Time

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.

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.

As the company's second line of defense, Corporate Risk — or Independent Risk Management — provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo's risk management program and provides oversight, including challenges to and independent assessment of, the frontline's execution of its risk management responsibilities. We manage risk according to the Risk Management Framework and ensure all employees understand their individual accountability for managing risk. Corporate Risk roles depend on a variety of skills, including: Data analysis and synthesis, root cause analysis, change management, process management & execution, risk governance, risk strategy, risk identification & assessment, risk prevention, controls & mitigation, risk monitoring, reporting & escalation, risk systems & technology.

The Compliance Strategy and Solutions Management team is part of Wells Fargo Compliance Program Strategy, Planning, and Governance. The team is looking for 2 officers focused on Client Services and Issues Management.

The Client Services Officer supports the oversight and execution of Compliance operational processes. They are responsible for working across the Compliance Program elements to ensure effective and efficient interactions between Compliance Program Strategy, Planning and Governance and the individual compliance groups as well as driving clarity around Independent Risk Management (IRM) coordination and execution.

Primary Duties and Responsibilities:

• Lead the planning and support the execution of the Compliance Design and Change Management Authority
• Partner effectively with subject matter experts and Client Services team members to properly guide the development of deliverables to meet requirements of actions
• Enhance engagement and positive coordination in the execution of Compliance Program operational processes with Compliance partners
• Interact with senior leadership and stakeholders to establish and manage plans, communications, and deliverables
• Create and deliver executive level presentations on initiative plans, actions, progress, issues, and impacts
• Provide aggregate summary of initiative information and business as usual activity to clearly communicate strategic level view of Compliance deliverables
• Provide leadership in the implementation of initiatives/projects recognizing the significance of competing priorities and strategies, while ensuring required actions are completed

The Issue Management Officer will lead all Issue Management and Escalation activities owned by CPSPG.

Primary Duties and Responsibilities:

• Partner and support compliance Issue Management and Escalation Management initiatives across the Compliance Strategy and Operations, including audit and regulatory commitments and issue management and escalation policy implementation.
• Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
• Successfully implement and manage Issue Management Policy and Procedures
• Escalates concerns and issues to senior leadership as needed
• Update and maintain Compliance business procedures related to issue management and escalations
• Excellent critical thinking and problem solving skills
• Build strong partnerships and collaborate effectively across front-line, independent risk management and key stakeholders; drive clarity in roles and responsibilities.
• Review, document and support implementation and execution of Issue Management and Escalation Management policies and related procedures.
• Be a champion of change and a force in developing the Compliance issue management and escalation capabilities
• Perform or assist with ad hoc assignments/projects.
• Maintain an understanding of the Wells Fargo Compliance Framework and the interconnectivity of its key components
• Maintain an understanding of business operations and regulatory guidance/expectations

• 
  7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

• 
  Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills

• Strong organizational and prioritization skills
• Ability to articulate complex concepts in a clear manner
• Strong analytical and problem solving skills; ability to translate ambiguous information into well-defined plans/solutions with a track record for delivering results
• Ability to cultivate relationships and collaborate with multiple stakeholders
• Effective communicator and relationship manager. Able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creating thinking and teamwork
• Ability to assess issues, make quick decisions, implement solutions, and influence change
• Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
• Experience in strategic planning, developing improvement processes and implementation strategies