Lead Compliance Officer Regulatory Change & Inventory Management Team

About this role:

Wells Fargo is seeking a Lead Compliance Officer to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo Compliance. As part of the RCIM team the Lead Compliance Officer will lead several critical tasks required to support the development and maintenance of Wells Fargos regulatory inventory as well as the management and implementation of regulatory changes.

Learn more about the career areas and lines of business at .

In this role you will:

• Lead projects to develop and enhance Major Compliance Requirements (MCRs) ensuring alignment with regulatory attributes.
• Integrate feedback from legal forums to update MCRs and maintain accuracy.
• Publish and manage MCRs within the RRCM platform.
• Conduct data quality reviews to validate legacy compliance records.
• Execute reconciliation controls and maintain accurate reporting documentation.
• Support Regulatory Line of Impact Assessment (RLIA) reporting activities.
• Implement controls for effective Regulatory Inventory Management.
• Assist in establishing and reviewing compliance coverage areas using SharePoint.
• Conduct compliance reviews and document outcomes in the RRCM platform.
• Manage and close overdue support tickets and other duties as assigned.
• Respond to audit inquiries particularly those related to FCRM uplift initiatives.
• Identify and flag duplicate citations in SHRP for removal ensuring citation integrity.

Required Qualifications:

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

Desired Qualifications:

• Experience in compliance regulatory change management or risk management in a highly regulated industry (e.g. financial services healthcare energy).
• Proven experience leading regulatory change initiatives and cross-functional teams.
• Strong understanding of regulatory inventory systems frameworks and best practices.
• Demonstrated ability to think critically solve complex problems and drive innovation.
• Excellent communication stakeholder management and influencing skills.
• Experience with GRC platforms (e.g. Archer ServiceNow SHRP MetricStream).
• Familiarity with global regulatory bodies and frameworks (e.g. SEC FCA GDPR Basel HIPAA).
• Certification in compliance or risk management (e.g. CRCM CAMS CCEP) is a plus.
• Excellent verbal written and interpersonal communication skills.
• Ability to effectively organize and prioritize work while handling multiple deliverables.
• Ability to work effectively in a complex environment with a high degree of collaboration.

Job Expectations:

• Posting Locations:
• 401 S Tryon Street Charlotte NC
• 401 Las Colinas Blvd W Irving TX
• 600 S 4th Street Minneapolis MN
• Willingness to work on-site at stated location on the job opening.
• This position offers a hybrid work scheduled.
• 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

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements skills experience or work location. The range listed is just one component of the compensation package offered to candidates.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

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.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit Market Financial Crimes Operational Regulatory Compliance) which includes effectively following and adhering to applicable Wells Fargo policies and procedures appropriately fulfilling risk and compliance obligations timely and effective escalation and remediation of issues and making sound risk decisions. There is emphasis on proactive monitoring governance risk identification and escalation as well as making sound risk decisions commensurate with the business units risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.