Wells Fargo

Job Category:



Charlotte, North Carolina



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Manager 4 - Compliance Learning Program Manager

Wells Fargo - Charlotte, North Carolina

Posted: 11/2/2018

Job Description

At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. 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.

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.

The Wholesale Compliance Programs was established to manage the development, tracking, monitoring and reporting of Compliance policies and procedures and the compliance learning program applicable to Wholesale businesses. This includes separate dedicated teams to each relevant function of policies and procedures, and under the compliance learning program, compliance learning development, compliance learning tracking, monitoring and reporting, and compliance learning project management.
This position includes the following responsibilities:

  • Partner with compliance colleagues in identification and planning of Group-level regulatory compliance needs and requirements primarily in US but also globally
  • Partner with businesses and compliance colleagues regarding applicable business-specific regulatory compliance learning requirements
  • Partner with Learning & Development and Instructional Design regarding the planning, development and assignment of Enterprise, Group and business-specific training requirements
  • Work with technology partners in the development of dashboards designed to track the number of regulatory training hours required and completed
  • Work with technology partners to develop regulatory training metrics that requires confirmation of data quality
  • Spearhead the implementation of a new learning management system for delivery of compliance learning
  • Supervise monthly community of practice calls
  • Attend periodic enterprise regulatory compliance learning calls to represent Wholesale Compliance Learning program
  • Enhance the Wholesale Compliance Learning program by structuring and implementing active monitoring of various business reporting mechanisms (i.e., issue management, corrective actions etc.) to identify opportunities for supplemental compliance learning
  • Support testing and validation, internal audits or regulatory examinations as needed

This individual will be responsible for managing a team dedicated to the development of a compliance learning program including meeting required training as well as compliance learning awareness. This includes a team focused on project management of compliance learning, a team dedicated to compliance training content development, and a team dedicated to compliance learning assignments, tracking, monitoring and reporting required training completion and related metrics. In addition, this team works closely with HR Learning & Development and HR Enterprise Learning Assignment. The Compliance Manager is responsible for communicating with colleagues in Wells Fargo Compliance as necessary, to ensure proper attention and engagement are applied to regulatory compliance risk management, periodic reporting requirements and escalation requirements. The individual will be responsible for fulfilling various reporting requirements, as well as assisting in drafting and reviewing related regulatory compliance learning procedures for Wholesale Compliance as well as implementation of appropriate procedures by the businesses. The Compliance Manager will also be responsible for representing Wholesale Compliance on various enterprise committees regarding broader regulatory compliance training programs and enterprise training systems. This individual will partner with Corporate Compliance and other Group Compliance colleagues regarding these various initiatives. The Compliance Manager role may also support other regulatory projects or initiatives as needed, including developing and analyzing business group-level metrics. The Compliance Manager has supervisory responsibility for three direct reports that each manage 1-2 compliance officers.

Preferred locations include Summit, NJ, Hicksville, NY and Charlotte, NC. May consider other WF Footprint locations.

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

  • 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
  • 5+ years of 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
  • Ability to drive and lead organizational change in a dynamic environment
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Ability to identify key issues, involve affected parties, design solutions, obtain buy-in, and communicate effectively through resolution
  • Knowledge and understanding of financial controls and risk
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Ability to implement a solution and communicate, in clear business terms, the benefits of the proposed risk management approach
  • Experience implementing and monitoring regulatory compliance training
Other Desired Qualifications
  • Experience managing large financial services company compliance learning programs
  • Knowledge and understanding of Learning Content Management Systems (LCMS) with experience developing strategy, standards, and protocols related to their use
  • Experience in analyzing LCMS and onboarding new or enhanced LCMS
  • Ability to work independently with limited direct supervision
  • JD or Master degree preferred
  • Ability to manage project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
  • Experience as a compliance officer or consultant providing day to day advice regarding regulatory compliance requirements applicable to a specific business as well as the implementation of a broad compliance program.
  • Experience in building/designing a control infrastructure through policies, procedures, guidance documents, and training development

  • 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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