Senior Compliance Specialist, Small Business Lending

1-4 yrs required

Full-time

No

Wells Fargo is committed to hiring and retaining military veterans, veterans with disabilities, National Guard members, and Reservists. Our goal is to employ 20,000 veterans by 2020. We support veterans transitioning from military service with a variety of job options, confidential resources, educational information, and career guidance.



The Senior Compliance Specialist in Small Business Lending will be responsible for providing regulatory compliance support to small business partners. They will need to understand and adhere to all applicable rules, laws, and regulations while participating in risk and compliance self-assessments. This role will require strong communication and collaboration skills as they will be working directly with the line of business and colleagues. Wells Fargo is seeking a candidate with at least 4 years of compliance experience or equivalent demonstrated through work experience, training, military experience, or education. The ideal candidate will have a Juris Doctorate or financial related paralegal experience, as well as experience with risk assessments and financial regulations.

This full-time position is available in multiple locations, including Charlotte, NC; Irving, TX; Tempe, AZ; Minneapolis, MN; and Saint Louis, MO. The job posting may come down early due to a high volume of applicants, so interested candidates are encouraged to apply as soon as possible. Relocation assistance is not available for this position. The posting end date is May 1, 2024.

Responsibilities:
- Provide regulatory compliance support to small business partners
- Understand and adhere to all applicable rules, laws, and regulations
- Participate in risk and compliance self-assessments
- Oversee the execution of risk-based compliance programs
- Develop and oversee standards for compliance
- Serve as a subject matter expert with comprehensive knowledge of business and functional areas
- Provide compliance risk expertise and consulting for projects and initiatives with moderate risk
- Monitor reporting, escalation, and timely remediation of compliance issues
- Provide direction to the business on corrective action plans and regulatory change management
- Identify opportunities for process improvement and risk control development
- Report findings and make recommendations to management and appropriate committees
- Interpret policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals
- Work with complex business units, rules, and regulations on moderate risk compliance matters
- Receive direction from leaders and exercise independent judgment in understanding function, policies, procedures, and compliance requirements

Required Qualifications:
- 4+ years of compliance experience, or equivalent demonstrated through work experience, training, military experience, or education

Desired Qualifications:
- 4+ years of small business or commercial banking experience
- Juris Doctorate or financial related paralegal experience
- Experience analyzing how laws apply to financial institutions
- Experience with risk assessments or advising on risk within a financial organization
- Experience with financial regulations or regulatory entities
- Audit experience in a financial organization
- Ability to work in a highly agile environment

Job Expectations:
- Willingness to work on-site at stated location on the job opening
- Hybrid work schedule
- Successful completion and clearing of a background check
- Compliance with 17 CFR of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3
- Ongoing compliance with additional screening and reporting requirements

Posting Locations:
- 114 N Beaumont St Bldg D Saint Louis, MO
- 250 E John Carpenter Frwy Irving, TX
- 401 S Tryon St Charlotte, NC
- 1150 W Washington St Tempe, AZ
- 600 S 4th St Minneapolis, MN
- 7001 Westown Pkwy West Des Moines, IA

We Value Diversity:
At Wells Fargo, diversity, equity, and inclusion in the workplace are highly valued. All qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran, or any other legally protected characteristic, are encouraged to apply.

Risk and Compliance Culture:
Wells Fargo employees support a strong risk mitigating and compliance-driven culture, which is critical to the success of customers and the company. Employees are accountable for following and adhering to applicable risk programs (including credit, market, financial crimes, operational, and regulatory compliance), fulfilling risk and compliance obligations, escalating and remediating issues, and making sound risk decisions. Proactive monitoring, governance, risk identification and escalation, and sound risk decisions are emphasized, in accordance with the business unit's risk appetite and all risk and compliance program requirements.

Diversity and Inclusion:
Wells Fargo is committed to hiring and retaining military veterans, veterans with disabilities, National Guard members, and Reservists. The company's goal is to employ 20,000 veterans by 2020 and provides resources, information, and guidance for veterans transitioning from military service into a variety of job options. Accommodations for applicants with disabilities are available upon request in connection with the recruitment process.

Drug and Alcohol Policy:
Wells Fargo maintains a drug-free workplace and has a strict policy regarding drug and alcohol use. Applicants are encouraged to review the company's Drug and Alcohol Policy before applying.

In conclusion, the Senior Compliance Specialist in Small Business Lending is a full-time position with Wells Fargo. The ideal candidate will have at least 4 years of compliance experience, a Juris Doctorate or financial related paralegal experience, and the ability to work in a highly agile environment. This position is available in multiple locations and the job posting may come down early due to a high volume of applicants. Wells Fargo values diversity, equity, and inclusion in the workplace and is committed to hiring and retaining military veterans, veterans with disabilities, National Guard members, and Reservists. The company also maintains a

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