Wells Fargo

Job Category:



San Francisco, California


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Manager 5 - Compliance Training and Development Lead

Wells Fargo - San Francisco, California

Posted: 09/16/2018

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.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

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.

This senior level Compliance Manager will manage a team of professionals to deliver high quality training and other communications to team members on regulations, requirements, policies and other aspects of compliance risk management. The individual will also be responsible for the skills assessment program and use the results to determine training and development needs. The individual will be a key part of a large scale change process in Compliance to improve the capabilities of team members and the quality of compliance risk management at Wells Fargo.

Primary Duties and Responsibilities include but are not limited to:
• Define universe of training currently available that addresses compliance requirements and function needs. Will be accomplished through coordination with Enterprise Learning and Development (ELD) and the Compliance leads in the Lines of Business (LOB)
• Establish, staff and maintain a proper governance over Compliance training including a process for prioritization of training, definitions of training, communication and other means of delivering content
• Work with ELD and Compliance leads in LOB to establish criteria for type of training required based on job description to better focus training on those who require greater depth and detail and those who need general awareness
• In collaboration with ELD and Compliance leads in LOB, build development courses and other resources for Compliance professionals. This would include a review of existing resources, cost benefit analysis of continuing to participate in those, and identification and evaluation of new development resources. This may include development of a specialized course/program with an executive education provider that is focused on Wells Fargo needs and priorities
• Collaborate with key stakeholders in enterprise functions (e.g. risk, technology)
• Work with Compliance technology lead on innovative new technologies to deploy in training, communication and development
• Be a champion of change and a force in developing the Compliance capabilities and culture required to properly provide compliance oversight and control for Wells Fargo
• Oversee staffing assessments and analysis, identifying gaps with proper escalation
• Actively participate as a key member of the leadership team of the Head of Compliance Strategy and Operations including committee participation where indicated
• Work closely with peers and Head of Compliance Strategy and Operations to ensure effective execution of business processes in alignment with enterprise policies and procedures
• Create a culture of excellence by proactively attracting, retaining and developing a team of talented and diverse compliance professionals to support effective compliance management

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
• Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
• Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

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 6+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 7+ 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
  • Outstanding problem solving and decision making skills
  • Experience consulting, influencing and partnering with business executives, leadership, human resources partners and peers
  • Ability to influence and collaborate at all internal organizational levels
  • Ability to identify and present processes/operational enhancements
  • Solid critical thinking skills
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Experience driving and leading organizational change in a dynamic environment
Other Desired Qualifications

• Subject matter expertise in processes related to compliance risk and possess well-rounded knowledge of current risk management issues and challenges
• Proven experience establishing a large scale vision, developing the strategy to support the vision, gaining consensus across key functional leadership areas through effective communication and successful delivery against goals and objectives
• Familiarity with Compliance training needs, including drivers such as regulatory change

Job Expectations

  • Willingness to work on-site at stated location on the job opening

  • 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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