Senior Compliance Specialist, Small Business Lending

1-4 yrs required

Full-time

No

The Senior Compliance Specialist position in Small Business Lending is a full-time role that offers a competitive salary and benefits package. This position is responsible for providing regulatory compliance support to small business partners and ensuring compliance with federal, state, agency, legal, regulatory, and corporate policy requirements. The ideal candidate will have at least 4 years of compliance experience or equivalent demonstrated through work experience, training, military experience, or education. They should also have experience in small business or commercial banking, and a Juris Doctorate or financial related paralegal experience is preferred. This role requires the ability to work in a highly agile environment and a willingness to work on-site at one of the listed locations.

The Senior Compliance Specialist will be responsible for overseeing the Front Line's execution and providing oversight and monitoring of risk-based compliance programs. They will also develop and oversee standards, provide subject matter expertise, and consult on projects and initiatives with moderate risk. This role will require the ability to identify and recommend opportunities for process improvement and risk control development, and to interpret policies, procedures, and compliance requirements. The Senior Compliance Specialist will also collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.

To be considered for this role, candidates must have a willingness to work on-site at the stated location and pass a FINRA background screening. They must also meet ongoing regulatory requirements and report certain incidents. The posting end date for this position is May 1, 2024, but the job posting may come down early due to high volume of applicants. Relocation assistance is not available for this position.

Wells Fargo values diversity, equity, and inclusion in the workplace and welcomes applications from all qualified candidates. Employees in this role are accountable for execution of all applicable risk programs and must follow and adhere to Wells Fargo policies and procedures, fulfill risk and compliance obligations, and make sound risk decisions. Proactive monitoring, governance, risk identification, and escalation are key in this role, as well as making risk decisions in line with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in the US will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Applications for employment are encouraged from all qualified candidates in Canada, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodations for applicants with disabilities are available upon request during the recruitment process.

In addition, Wells Fargo maintains a drug-free workplace and candidates must comply with the company's Drug and Alcohol Policy. This is a great opportunity for a compliance professional with experience in small business or commercial banking to join a highly respected company and make a significant impact in managing and mitigating risk.

Legal