Wells Fargo

Job Category:

Community Banking


Charlotte, North Carolina



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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'Compliance Manager 2 (Testing & Validation)

Wells Fargo - Charlotte, North Carolina

Posted: 11/17/2018

Job Description

Wells Fargo Compliance is the company’s compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

Enterprise Testing is seeking a Compliance Manager to oversee testing and validation focused on Wells Fargo Virtual Channels (WFVC) Contact Centers within Payments, Virtual Solutions & Innovation (PVSI). This manager will be responsible for developing, implementing, and executing a risk-based testing program of the first line of defense. This program consists primarily of control testing activities based on regulatory and key policy requirements. This manager will oversee a talented team of individual contributors and will interact regularly with Contact Center senior management, Wells Fargo Compliance, Wells Fargo Audit Services, and other oversight groups. This review program ensures consistency with our commitment to our customers, the Wells Fargo Vision & Values, and risk appetite.

Specific responsibilities include, but are not limited to, the following:
• Leading and supporting the development and implementation of the Enterprise Testing program for the WFVC Contact Center lines of business
• Maintaining the appropriate stature and relationship with senior management to effectively facilitate discussions and resolve issues
• Managing a team of talented risk management professionals responsible for executing review activities
• Overseeing Compliance Activity Reporting that is issued to the line of business and other partners
• Escalating results, trends, and issues identified, as appropriate
• Recommending actions to reduce and manage risk and ensure compliance with corporate and regulatory compliance
• Monitor and assess regulatory changes and impacts

*Please note posting could be pulled down early due to candidate volume.

*May be open to other Wells Fargo footprint sites..

Required Qualifications

  • 6+ 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 6+ 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
  • 2+ years of management experience, or 3+ years of leadership 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
Other Desired Qualifications
  • Intermediate Microsoft Office skills
  • Ability to interact with all levels of an organization
  • Ability to read, analyze, and interpret regulations, policies, reports, and business processes
  • Experience developing and enhancing compliance programs
  • Experience working effectively across business units to identify and mitigate risk
  • Demonstrated leadership on high risk projects or initiatives
  • Working knowledge of financial services-related regulations and expectations and other technology rules and regulations
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Certified Regulatory Compliance Manager (CRCM)
  • Certified Internal Auditor (CIA)
  • BS/BA degree in a business or related field
  • Advanced degree preferred (e.g., JD, MBA, etc.)
  • Wells Fargo compliance systems knowledge (SHRP, etc.)
Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

IA-Des Moines: Min: $80,500 Mid: $115,000
MN-Minneapolis: Min: $80,500 Mid: $115,000
CA-SF-Financial District: Min: $96,600 Mid: $138,000
NC-Charlotte: Min: $80,500 Mid: $115,000

Street Address

IA-Des Moines: 666 Walnut St - Des Moines, IA
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
CA-SF-Financial District: 525 Market St - San Francisco, CA
NC-Charlotte: 301 S Tryon St - Charlotte, NC


  • 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.

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