Senior Compliance Specialist

Senior Compliance Specialist

Wells Fargo is seeking a Senior Compliance Specialist on the Fiduciary Compliance Team. This role will support Trust Services as part of the business aligned compliance team.

In this role, you will:

• Provide subject matter expertise with comprehensive knowledge of compliance risk for fiduciary administration, specialty asset management, and Trust Services business.
• Provide oversight of the Trust Services business through governance committee attendance and credible challenge.
• Provide regulatory change management support for Trust Services business
• Provide review and challenge of Trust Services policies and procedures
• Develop and execute Compliance Monitoring Activities for Trust administration and specialty asset management
• Participate and provide challenge to the RCSA process and lifecycle for Trust Services administrative and specialty asset management RAUs
• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Provide oversight and monitoring of risk-based compliance programs
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide compliance risk expertise
• Consult for projects and initiatives with moderate risk for a business line
• Identify and recommend opportunities for process improvement and risk control development
• 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 while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 4+ years of trust services, philanthropic or estate settlement experience
• Ability to successfully explain and guide people through the process and manage any low-level process requirements
• Strong Analytical skills, critical thinking with problem solving competency
• Ability to redesign processes and enhance solutions through identifying technical solutions
• Experience collaborating and building relationships across multiple stakeholders
• Demonstrated ability to build and maintain strong relationships with key stakeholder groups
• Effective communication and presentation skills for varying levels of information
• Certified Trust And Fiduciary Advisor (CTFA) or Certified Regulatory Compliance Manager (CRCM)

Job Expectations:

• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work schedule.
• This position is not eligible for Visa sponsorship.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range: $87,000.00 - $154,000.00

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit

Wells Fargo Jobs

• 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

Wells Fargo is an equal opportunity employer. All qualified applicants 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.