Compliance Consultant

Wells Fargo Charlotte, NC

About the Job

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 prior to 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 want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Wells Fargo Compliance is the company’s compliance independent risk management function, providing companywide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Compliance Process Change Group is driving our strategic priority of becoming a more process-centric organization – in which business process is established as a foundation for the execution of business operations and will improve the Company’s control environment for compliance risk and operational risk. Wells Fargo expects to achieve this goal by systematically identifying compliance and operational risk requirements and linking those requirements to business process and controls designs. Certain aspects of how the Compliance Program operates in a process-centric organization need to be evaluated and changed so that Compliance can independently oversee the identification, measurement, assessment, monitoring, aggregation and reporting of compliance risks, in alignment with Operational Risk

The successful senior-level candidate will handle the following:

  • Stand up and define complex, enterprise-wide, compliance initiatives at the Program level, which require close partnership with compliance and / or audit functions
  • Navigate through ambiguity and maintain momentum driving for results and clarity in uncertain situations.
  • Process re-engineering and solution, and principles of Business Process Modeling / understanding of data models specifically around regulatory and compliance requirements. Understanding of technology platforms to enable compliance and regulatory needs
  • Set up Enterprise-wide Change Management initiatives, infrastructure and technology enablement, and driving / balancing strategic needs with competing priorities
  • Communicate effectively, in both written and verbal formats, with senior executive-level leaders
  • Be a proactive self-starter who values personal accountability and thrives under pressure in a fast-paced and ever-changing environment
  • Build strong, effective, collaborative partnerships across business units, creating alliances among diverse stakeholders
  • Achieve the results through virtual teams in a heavily matrixed environment

Location: Preferred location is Charlotte, NC, Dallas, TX or New York, NY

**Please note that posting duration may be shortened based on job seeker volume.**

Required Qualifications

  • 12+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 12+ years of IT systems security, business process management or financial services industry experience, of which 6+ years must include direct experience in compliance, operational risk management, or a combination of both

Desired Qualifications

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Leadership skills including the ability to influence effectively in a matrix environment
  • Strong influence skills
  • Strong presentation skills
  • An active Certified Regulatory Compliance Manager (CRCM) designation
  • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function

Other Desired Qualifications
  • Compliance Certifications desired
  • Experience working in a Compliance-Risk & Control setting in a large, diversified financial institution
  • Previous Business Process Redesign experience
  • Robust experience managing and resolving issues, risks, scope, schedule, dependencies, assumptions, and communications, including carrying out risk management, mitigation, and planning across large projects
  • Experience working horizontally across a large, complex organization and participating in enterprise-wide implementations of major policy and relevant compliance programs across major business divisions
  • Effectiveness in driving successful execution of plans; ability to plan, prioritize, and set goals
  • Sense of urgency about exceeding the objectives of the role
  • Demonstrated ability to build and maintain strong credible relationships with key stakeholder groups including management, regulators, front line businesses, and enterprise functions
  • Ability to work in a dynamic environment, and adjust to changing priorities
  • Demonstrated full understanding of the Wells Fargo Vision and Values, competitive strengths, industry dynamics, and culture norms

Job Expectations

  • Ability to travel up to 25% of the time


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.