Compliance Data and Process Risk Manager (Compliance Manager 3)

Job Description

At Wells Fargo you'll find a team with proven track records of success who are smart and possess strong values. You can enjoy a diverse career as you learn and grow your capabilities across our multiple lines of business. Our supportive environment can help you make a difference within the company and the communities we serve.

This is a position in Compliance within the Compliance Controls & Infrastructure (CCI) team supporting multiple lines of business within Wells Fargo Securities. The CCI team provides program design, technology controls, policies and procedures management, surveillance, risk analysis, and reporting for WFS Compliance and LOB stakeholders.

The Compliance Data and Process Risk Manager is responsible for the implementation of data management processes and programs aimed at building scalable, dynamic reporting with respect to line of business regulatory requirements, Compliance control effectiveness, and Compliance process efficiencies. This manager will lead a team that will also evaluate complex control process flows and develop process improvement recommendations while developing strategies and methods that enhance decision making and productivity by making disparate regulatory data points across the WFS organization more readily available.

The successful candidate will be presented a broad scope of responsibility and will partner with leadership and cross-functional teams to develop strategies that improve systems, processes, reporting tools, and policies in support of the organization's mission and strategic direction. He or she will actively influence the success of the business through their expert understanding and translation of complex organizational data systems and operational processes and the creation of strategies and solutions that tackle complex governance, staffing and reporting challenges.

  • Has experience in managing a portfolio of Data Analytics and Business Process Re-Engineering initiatives, team members and projects with proven leadership skills and accountability for identifying, collecting, and monitoring project tasks in collaboration with other project team members
  • Serve as an important partner to leadership with a strong focus on maximizing and leveraging organizational data and metric assets while establishing efficiencies in operations
  • Communicate and present concise data and metrics stories to stakeholders and senior management; both verbal and written
  • Draw inferences from process details and link these conclusions to the bigger picture by considering business objectives in identifying process improvements and opportunities to increase efficiencies using DMAIC, Metrics and other techniques and technologies
  • Establish practices that promote the adoption of appropriate solutions and the sustainability of desired results in moderately complex environments
  • Use efficient and cost-effective approaches to integrate processes and technology aimed at improving productivity – develop performance scorecards and other tools to measure results
  • Assess issues and work with compliance partners, upper management and technology to identify solutions to meet productivity, quality and goals
  • Ensure that team members deliver presentations, including road maps to illustrate schedules and dependencies to senior management on system deficiencies in data, process mapping, steps and enhancements, critical path, key constraints
  • Mentor and develop the skills of other data and metrics oriented colleagues while developing programs that foster greater collaboration and the continued growth and advancement of a more data and metrics driven culture

Background should include business project management, technical project management, and implementation experience; Compliance, Risk and Operations experience preferred. Must communicate effectively and timely and manage expectations of stakeholders.

Team members 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 and if 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 unit's risk appetite and all risk and compliance program requirements.

Required Qualifications

  • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience

Desired Qualifications

  • Customer service experience
  • 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

  • Has managed a staff of project managers, business analysts, data scientists, and metrics innovators
  • Has managed team members with knowledge of prescribed project methodology and deliverables; Six Sigma and Green Belts
  • Has managed a team of Business Process Re-Engineering analysts
  • Has managed an analytics team that provides metrics where potential areas of improvement and root cause analysis may be needed, recommended suggestions to management, and implemented action plans in a large corporation
  • Experience managing a team of individuals that can develop reporting, metrics and dashboards with SQL Server, Excel, Reporting Services, Tableau and QlikView or similar applications
  • Familiarity with Data Warehousing principles and relational database concepts
  • Demonstrated experience working with business teams to create reporting solutions based on specifications and requirements articulated by subject matter experts
  • Initiate action, generate creative solutions, achieve results and accept challenging assignments


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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