Compliance Specialist 2 (Community Banking Review Standards)

Job Description

Let’s talk about building a rewarding career

You’ve got the passion. You’ve got the skills. Now you just need the right opportunity. At Wells Fargo, you’ll have the chance to join a team of intelligent and talented people who share the same values. Our diverse lines of business offer a world of opportunity to expand your capabilities and advance your career. We invest in our people and provide a supportive environment in which to learn and grow.

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.8 trillion in assets. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through 8,700 locations, 13,000 ATMs, the internet ( and mobile banking, and has offices in 36 countries to support customers who conduct business in the global economy. With approximately 265,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 30 on Fortune’s 2015 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

Community Banking Review Standards (CBRS) team is part of Community Banking Risk Management (CBRM) and conducts review activities (monitoring and testing) across all lines of business within Community Banking and across a broad spectrum of risks, including consumer protection, Bank Secrecy Act/anti-money laundering, regulations, operational risk and internal policies.

CBRS is seeking a team member to support Governance oversight and quality assurance functions. This team member will interact with Community Banking Review Standards leadership and team members, line of business Operational Risk and Compliance teams, the Community Banking Group Chief Compliance Officer (GCCO) team, Regulatory Compliance Risk Management (RCRM), and other oversight groups. The governance provided through this position will ensure consistency with Community Banking’s commitment to customers, the Wells Fargo Vision & Values and risk appetite.

Key responsibilities include (but are not limited to):

  • Supporting the implementation and monitoring of a risk-based compliance program.
  • Assisting with production of periodic compliance performance reports for CBRS leadership, including trend analysis and recommendations.
  • Assisting with the development and maintenance of a centralized test script library.
  • Supporting program documentation and retention requirements; including SharePoint, Shared Drive and other repository site maintenance.
  • Participating in and providing compliance consulting and support for projects and initiatives with low to moderate risk to identify and mitigate regulatory risk in business activities.
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls.
  • May assist in drafting a summary of findings, corrective action plans and recommendations to ensure operational and regulatory compliance.
  • Assisting with issue escalation and coordination of internal and external examination requests.
  • Supporting CBRS related training initiatives and reporting.

Locations: AZ-Phoenix, IA-Des Moines, MN-Minneapolis, TX-San Antonio, CO-Denver, and NC-Charlotte – Will consider other locations within the Wells Fargo footprint.

Required Qualifications

  • 1+ year of experience in one or a combination of the following: 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), IT systems security, business process management, or financial services, demonstrated through work or military; or a BS/BA degree or higher in business or a related field

Desired Qualifications

  • Intermediate Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Risk and regulatory compliance experience
  • Knowledge and understanding of banking: regulations, compliance, policies, process, and procedures
  • Exposure to Wells Fargo CICAT (Centralized Issue and Corrective Action Tracking) System
  • Strong time management skills and ability to meet deadlines
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Experience creating, executing, and documenting compliance testing
  • Community banking experience

Other Desired Qualifications

  • Ability to provide “creditable challenge” to business partners when necessary
  • Working knowledge of Wells Fargo systems and risk platforms (SVP, SVT, RCSA, CRAS+, SHRP)

Street Address

NC-Charlotte: 301 S Tryon St – Charlotte, NC

CA-SF-South Of Market Area: 45 Fremont Street – San Francisco, CA

AZ-PHX-Central Phoenix: 100 W Washington St – Phoenix, AZ

MN-Minneapolis: 2801 4th Ave S – Minneapolis, MN

IA-Des Moines: 666 Walnut St – Des Moines, IA

TX-San Antonio: 4101 Wiseman Blvd – San Antonio, TX

CO-Englewood: 9780 S Meridian Blvd – Englewood, CO


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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