Wells Fargo

Job Category:



Glen Allen, Virginia


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Manager 1

Wells Fargo - Glen Allen, Virginia

Posted: 10/11/2018

Job Description

At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

The Wealth and Investment Management (WIM) Financial Crimes Program has an exciting opportunity to join its High Risk Customer Team. The High Risk Client Consultant will be responsible for performing key aspects of WIM’s High Risk Client processes. The High Risk Client Consultant will be responsible for the delivery of high standards of client service to WIM business lines and channels, with a focus on WFA, and will ensure that all internal Service Level Agreements, standards, regulatory requirements, and expectations associated with the Bank Secrecy Act, USA PATRIOT Act, and Economic Sanctions laws and regulations are met.

Key Roles & Responsibilities:

  • Providing collaborative guidance, direction, and coaching to members of the High Risk Client Team
  • Providing oversight and quality assurance during the execution of all high risk client related processes
  • Monitoring team productivity in accordance with regulatory expectations and Firm’s best practices
  • Assisting with the management of regulatory examinations and inquiries, and internal audits of assigned activities
  • Identifying deficiencies and ensuring that escalated issues are promptly addressed and resolved
  • Participating in and providing compliance consulting and support for projects and initiatives to identify and mitigate regulatory risk in business activities
  • Assisting in the coordination of site, agency or other examinations conducted by external parties
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations
  • Employing process improvements and identifying training opportunities by providing input in the development of training materials and training delivery
  • Coordinating production of periodic compliance performance reports for senior management, including trend analysis and recommendations
  • Providing credible challenges to existing processes, procedures and delivery channels

WIM’s Compliance Manager must have the ability to effectively manage, lead and develop a staff of AML Compliance professionals. He/she must also work with other Compliance functions and key stakeholders in business units and internal support groups across the organization in order to successfully collaborate on AML Compliance projects and initiatives that are large and complex in scope and impact. The ideal candidate must have the ability to successfully manage competing priorities in a high-pressure deadline driven environment, and must be able to effectively navigate a highly-matrixed organizational structure in order to identify, build and maintain key relationships.

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

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 3+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 1+ year of leadership or management 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
  • Certified Anti Money Laundering Specialist (CAMS)
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
  • Strong relationship management skills
  • Leadership skills including; coaching, training, and mentoring
  • Ability to take initiative and work independently with minimal supervision in a structured environment
Other Desired Qualifications
  • Ability to engage a highly engaged workforce by fostering an environment of trust, integrity, personal accountability and excellence
  • Experience assisting with programs designed to adhere to BSA/AML/OFAC laws and regulations in either a retail/commercial bank or retail brokerage environment
  • Experience in performing financial investigations, activity analysis and risk analysis
Street Address

FL-Miami: 333 Se 2nd Ave - Miami, FL
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
VA-Glen Allen: 4340 Innslake Dr - Glen Allen, VA
DE-Wilmington: 505 Carr Rd - Wilmington, DE


  • 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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