Compliance Manager 3 in Charlotte, North Carolina | DiversityInc Careers
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Compliance Manager 3

Job Description

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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

This position is in Retirement Compliance supporting Institutional Retirement and Trust (IRT) and Trust Services Group (TSG). The candidate will supervise the execution of the compliance testing program in accordance with the corporate testing and validation policies and procedures.

Responsibilities include:

  • Manage and developing Compliance Consultants who conduct compliance testing and validations across Retirement business lines. Compliance reviews are moderate to large in terms of size and complexity.
  • Ensuring Compliance Consultants develop appropriate scope of reviews, identify relevant risks and controls, design and execute proper control testing and accurately analyze and report results.
  • Demonstrating professional skepticism and credible challenge; presenting results of compliance reviews in an objective and unbiased manner. Writing opinions reflecting relevant facts that lead to logical conclusions.
  • Manage an internal quality assurance process to ensure compliance testing and validations are conducted in accordance with applicable policies, procedures and guidance.
  • Develop and maintain procedures for Retirement T&V to ensure consistent implementation across team.
  • Oversee Analytics Consultant responsible for independent data requests, SharePoint management and other technology related deliverables.
  • Develop methods to review large populations of data for exceptions to regulations, policies and procedures.
  • Maintain governance program in Retirement T&V to ensure testing and validation calendar is developed and adhered to.
  • Manage projects across Retirement T&V, including participation in WIM T&V projects and activities to drive consistency with WIM T&V standards and expectations.
  • Maintaining information on corporate operational risk systems and through periodic reporting that effectively reflects the current state of testing and validation activities.

***Preferred locations are listed however the hiring team is open to other locations within the Wells Fargo footprint***

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

Required Qualifications

  • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience

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 articulate complex concepts in a clear manner
  • Audit or internal controls testing experience
  • Experience identifying key issues, involve affected parties, design solutions, obtain buy-in, and communicate effectively through resolution
  • Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders

Other Desired Qualifications
  • Advanced degree (MBA) or certification (CPA, CIA, etc.)
  • Working knowledge of Institutional Retirement & Trust and Trust Services Group business lines
  • Experience with ERISA, Regulation 12 CFR. 9 and/or other regulations that pertain to fiduciary business activities.
  • Certified Fiduciary and Investment Risk Specialist (CFIRS), Certified Retirement Services Professional (CRSP), Certified Securities Operations Specialist


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.