Compliance Senior Manager- Political Law Pre-Clearance Reporting

About the position

Wells Fargo is seeking a Senior Compliance Manager for the Political Law Pre-Clearance Reporting (PLPR) Team within the Conduct Risk Conflicts of Interest Governance and Oversight (CR) group under Enterprise Compliance Operations (ECO) in Corporate Risk. The PLPR team is a global function responsible for the review of pre-clearance requests and federal, state, and local jurisdictional laws related to activities including: Giving and Receiving gifts and entertainment as defined by the Gifts and Entertainment (G&E) Policy; Personal political contributions made by Covered Employees and their immediate family members as well as Outside Directors; Certain personal charitable contributions; Political volunteer activities, and; Certain Wells Fargo sponsorships as required by the Brand and Sponsorship Policy. PLPR also manages the Wells Fargo procurement lobbying registration process for solicitation of business from government officials or government entities, including the preparation and filing of various jurisdictional reports as required by law.

Responsibilities

• Manage and coach a team of Compliance professionals responsible for establishing, implementing and maintaining risk standards to drive compliance with applicable federal, state, agency, local and regulatory laws and enterprise and line of business policy requirements.
• Coach the PLPR team to analyze and respond to employee disclosure, pre-clearance requests and inquiries in accordance with related policies.
• Responsible for the overall management and administration of Wells Fargo’s Procurement Lobbying Registration program.
• Execute appropriate coordination and collection of lobbyist activities, expenses and compensation to create periodic jurisdictional activity reporting.
• Develop team to build strong proficiency and working knowledge of pre-clearance policies, regulatory requirements for covered employees and other related policies.
• Manage team pre-clearance assessment workflow, requests and disclosure submissions using the Global Preclearance System (GPS) and other related tools and systems.
• Collaborate with peers and colleagues on various projects and initiatives related to pre-clearance, policies, regulatory requirements and GPS technology enhancements.
• Provide advice, counsel and interpretation of the COI, BA, G&E and relevant line of business policies to employees, leadership and partners as needed.
• Assist in developing, reviewing and delivering pre-clearance/disclosure related training, presentations and/or communications that are effective in domestic and international business environments.
• Recommend opportunities for process improvement and risk control development.
• Manage coordination and communication with leadership regarding compliance risks and escalated matters.
• Mentor and guide talent development of direct reports, including the hiring of talent for Compliance.

Requirements

• 6+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• 3+ years of management or leadership experience.

Nice-to-haves

• Knowledge and understanding of compliance practices and methodologies, including risk assessment, monitoring, and testing activities, regulatory change.
• Knowledge of related regulations and 'Pay-to-Play' rules.
• Prior experience building or maintaining key relationships across departments and functions, and establishing a culture of engagement and collaboration.
• Proven ability to positively and creatively influence change and champion critical change initiatives.
• Ability to work in a highly complex organization and influence the outcomes of decisions to ensure the most appropriate risk posture in a rapidly changing environment.
• Proven ability to share lessons learned and best practices across an organization.
• Strong analytical skills with high attention to detail and accuracy.

Benefits

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement