Compliance Manager - RCIM Compliance Regulatory Library Management

Wells Fargo • Charlotte, NC

412d

About The Position

Wells Fargo is seeking a Compliance Manager to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. This role is responsible for leading the development and maintenance of the regulatory inventory and managing the implementation of regulatory changes, ensuring compliance with U.S. federal, state, and international legal requirements.

Requirements

• 4+ years of Compliance experience or equivalent demonstrated through work experience, training, military experience, or education.
• 2+ years of Leadership experience.

Nice To Haves

• Regulatory Change Management experience
• Direct management or cross-matrixed leadership experience
• Proficient knowledge in non-compliance risk coverage
• Juris doctorate preferred
• Advanced understanding of legal and regulatory information globally for laws and rules applicable to Wells Fargo businesses
• Experience with Wells Fargo internal risk systems such as SHRP
• Experience in analyzing laws and regulations and other compliance data and non-compliance risk types
• Experience developing improvement processes and implementation strategies
• Experience consulting, influencing, and partnering with business executives, leadership, and peers
• Strong analytical skills with high attention to detail and accuracy
• Solid problem solving and relationship management skills
• Experience communicating in both written and verbal formats with senior executive-level leaders.

Responsibilities

• Manage a team responsible for establishing, implementing, and maintaining the regulatory inventory of U.S. federal, state, and international legal and regulatory requirements.
• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements.
• Mentor and guide talent development of direct reports and assist in hiring talent.
• Provide direction to a team of Compliance Officers responsible for organizing a high volume of predominantly U.S. state laws, rules, and regulations.
• Participate in building and maintaining the regulatory compliance inventory and evaluate the firm's Major Compliance Requirements (MCRs) as state laws change.
• Partner with Business-Aligned and Horizontal Compliance Officers to understand the firm's processes and products/services for determining firm-wide applicability.
• Collaborate with Regulatory Librarians, Legal, Compliance Technology, and other stakeholders to ensure new state law topics meet internal MCR standards.
• Work with vendors to ensure accurate organization of laws, rules, and regulations for downstream consumption.
• Lead clean-up and reconciliation activities to reorganize/consolidate MCRs and prioritize work in a risk-based manner.
• Onboard, train, and support new contractor resources as their contract terms expire.

Benefits

• Hybrid work schedule
• Diversity, equity, and inclusion initiatives
• Drug-free workplace policy

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Ph.D. or professional degree