Download App | FOLLOW US ON SOCIAL MEDIA
 Upload Your Resume   Employers / Post Jobs 

Corporate - Securities and Capital Markets Attorney in Charlotte, NC

Wells Fargo Oct 20,2018 Location USA Charlotte NC
This job is expired...

In-House

Attorney

Corporate - Securities and Capital Markets

Min 4 yrs required

Profile

Compliance Manager 4 - Head of Commercial Capital Group The candidate will be accountable for establishing and overseeing execution of the enterprise and Wholesale compliance program across all functional areas and platforms for the businesses. Will direct and oversee key enterprise and Wholesale compliance program elements with respect to the firm businesses, including compliance risk ssessments, initiative management, establishment and implementation of policies and standards, delivery of compliance training and awareness, compliance issue management, metrics and reporting. Provide strategic direction and guidance to the firm business lines and their embedded controls staff regarding applicable laws, rules, regulations, enterprise standards and compliance-related best practices. Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies or regulatory matters. Provide reporting on the state of compliance in the firm business lines to the Head of Wholesale Bank Regulatory Compliance and Head of Wholesale Compliance. Oversee, credibly challenge and assess the firm business environment with respect to managing and mitigating compliance risk and establish processes to provide effective and timely implementation of regulatory change requirements applicable to the businesses. Direct the implementation of effective compliance strategies to assess key risks and anticipate regulatory issues; and identify opportunities to simplify and drive consistency of solutions to strengthen compliance risk management. Support effective coordination of compliance-related regulatory examinations in firm businesses, and build and maintain effective relationships with all associated regulators. Foster an environment that supports strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance and other corporate stakeholders to facilitate transparency, balance and credible challenge. Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business lines, legal entities, geographies, and jurisdictions; and escalate compliance issues to senior Compliance management. Create a culture of excellence by proactively attracting, retaining and developing a team of talented and diverse compliance professionals to support the execution of the firm Compliance program. Responsible for implementation of firm Compliance programs and ensuring continued compliance with US banking regulations administered by the OCC and the FRB and other US regulators. Responsible for managing the implementation of compliance related projects in close coordination with the firm businesses. Lead team with integrity and create an environment where 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.

Qualification and Experience

The candidate should have 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both. Should have 5+ years of management experience. Advanced Microsoft Office skills is preferred. Excellent verbal, written, and interpersonal communication skills is desired. Knowledge and understanding of wholesale banking products and services is preferred. Experience driving and leading organizational change in a dynamic environment is preferred. A Masters of Business Administration (MBA) or Juris Doctor degree (JD) is desired. Extensive experience designing and executing compliance programs, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training is preferred. Expert-level knowledge of commercial banking laws and regulations, including relevant aspects of the Dodd Frank Act (e.g., Super 23A of the Volcker Rule) and associated compliance programs is desired. Prior Experience at a US banking regulator (OCC, FRB, state banking department, etc.) is preferred. Strong experience in providing compliance oversight for asset finance, vendor distribution finance and/or equipment finance as well as custody services is preferred. Familiarity with the panoply of US banking regulations including OCC Part 9 as well as some securities related laws including information barriers, MNPI, Regulation FD and OCC is preferred. Proven experience establishing a large-scale vision, developing the strategy to support the vision, gaining consensus across key functional leadership areas through effective communication and successful delivery against goals and objectives is desired. Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices is preferred. Close Date 10/22/2018

Additional info

Job ID 5436679

Company info