Wells Fargo Regulatory Relations Engagement Leader / Compliance Manager 5

Wells Fargo New York , NY 10007

Posted 2 weeks ago

Job Description:

About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo's vision is to satisfy our customers' financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through 7,950 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 37 countries and territories to support customers who conduct business in the global economy. With approximately 262,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 26 on Fortune's 2018 rankings of America's largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.

Wells Fargo Regulatory Relations

Wells Fargo Regulatory Relations (WFRR) oversees regulatory relations for Wells Fargo. It ensures an organized and cohesive approach to interacting with regulators and leads the company's efforts to have a sustained and proactive dialogue on risk management to address regulatory expectations. It is responsible for developing and implementing the overall strategy for regulatory engagement, ensuring transparency and consistency of communications, providing oversight and guidance on the quality of regulatory responses, and ensuring adherence to enterprise-wide requirements.

The Roles:

The Regulatory Relations Strategy, Engagement, and Governance group develops our regulatory engagement strategy, sets standards and expectations for managing regulatory relations across the enterprise, and manages cross-group and critical regulatory interactions. It also manages the various governance processes, establishes appropriate communications protocols and programs, and ensures transparency across the enterprise. It also acts as a single point of contact for regulators at the enterprise level, as well as a point of contact for all business and functional groups across the enterprise.

The Regulatory Engagement Manager positions are senior roles within the Regulatory Relations Strategy, Engagement, and Governance group focused on interactions with the Group Regulatory Relations ("GRR") functions embedded in the Front Line Businesses and Enterprise Functions to ensure quality and robustness of engagement and responsiveness throughout the regulatory life cycle. This role will also provide advice, expertise, information, and connectivity across groups. The team will also assist with engagement management for large cross functional engagements as needed. There will be six Engagement Manager positions and each will report to the head of Strategy, Engagement, and Governance. These six positions will cover 1) Wholesale, 2) Consumer, 3) Corporate Risk, Audit, Legal, 4) HR, Technology, Data, BCP and Finance.

Specific duties include (but are not limited to):

  • Ensure quality and robustness of engagement and responses in Front Line Businesses and Enterprise Functions throughout the life cycle of each engagement. Review reporting and ensure high data quality and completeness.

  • Ongoing partnership with respective GRR(s) Ensure proactive, clear bi-directional communication covering themes, concerns/issues, escalated items, WFRR process or control breaks, and key priorities.

  • Provide advice, expertise, information, and issue escalation to the covered group. Assist in providing connectivity across groups.

  • Partner on exams and other critical regulatory interactions at the group level ensuring appropriate exam leads and accountable executives.

  • Assist in managing end to end regulatory engagement at the enterprise level. This also includes engagements that span multiple groups.

  • Support regulatory interaction for senior management.

  • Act as a point of contact for regulators at the enterprise level

  • Ensure appropriate education and training around the WFRR policy and procedures.

The Candidate:

Leadership, integrity, and credibility will be determining factors in selection. Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and with regard to their accomplishments. It requires a leader with strong relationship management, influencing, vision and execution skills. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for results, and personal accountability for achievement.

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

  • Ability to articulate complex concepts in a clear manner

  • Advanced Microsoft Office skills

  • Excellent verbal, written, and interpersonal communication skills

  • Strong analytical skills with high attention to detail and accuracy

Other Desired Qualifications

  • Deep expertise and experience in managing relationships with regulators and coordinating regulatory interactions (e.g. exams, data requests, supervisory meetings, etc.

  • Demonstrated knowledge of the financial services industry with emphasis on one of the following: Wholesale Banking; Consumer Banking; Corporate Risk, Audit, Legal; HR, Technology, Data, BCP, Finance.

  • Track record of success in collaborating, partnering with and influencing team members, managers, and leaders.

  • Honed communication skills with exceptional ability to negotiate and facilitate collaboration at all levels of the organization.

  • Effective leadership ability to drive successful execution of strategic plans; ability to plan, prioritize and set goals. Must possess a sense of urgency about exceeding the objectives of the role

  • Excellent analytical, critical thinking and problem-solving skills

  • Balanced judgment and decision making skills

  • Demonstrated ability to attract, retain, develop and motivate high performing team members

  • Demonstrated ability to execute effectively, develop partnerships with many front line business and enterprise functional areas

  • Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities

  • Demonstrated ability to build and maintain strong credible relationships with key stakeholder groups including executive management, regulators, front line businesses, and enterprise functions

  • Ability to work in a dynamic environment, lead through adversity, and adjust to changing priorities

  • Demonstrate a full understanding of the Wells Fargo Vision and Values, competitive strengths, industry dynamics and culture norms


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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Wells Fargo Regulatory Relations Engagement Leader / Compliance Manager 5

Wells Fargo