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About this role:

Wells Fargo is seeking a Compliance Specialist for the Global Compliance Ethics Pre-clearance ("GCEP") Team and related program within the Enterprise Compliance Operations ("ECO") group in Corporate Risk.). GCEP is an IRM function responsible for assessing, analyzing and responding to employee disclosures, requests and inquiries in accordance with Wells Fargo's Code of Ethics and Business Conduct, Conflicts of Interest and Outside Activities, Gifts and Entertainment Policies and adherence to FINRA and CFTC regulatory requirements for the Enterprise and impacted employees.

GCEP is responsible for following and adhering to established pre-clearance requirements outlined in the relevant Enterprise Conduct Risk policies and regulatory disclosure requirements and other relevant policies during the assessment and final disposition, mitigating reputational and regulatory risk for the enterprise.

About the Enterprise Compliance Operations Team:

Enterprise Compliance Operations ("ECO") is a team comprised of eight underlying teams which are highly operational in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Control Group, Personal Account Dealing Team, Equity Aggregation Team, Securities Registration and Licensing Teams, Political Law Pre-clearance and Reporting, Lobbyist Management, Ethics Pre-clearance, and Global Pre-clearance Teams. These compliance operations teams cover all the firms' lines of business and corporate functions globally as they relate to the underlying team responsibilities. Learn more about career areas and lines of business at www.wellsfargojobs.com.

In this role, you will:

• Interpret policy and work with various partners as needed to review and decision pre-clearance related matters, while assessing for actual, potential and perceived conflicts of interest and risk related to team member outside activities, gifts and entertainment exchanged between Wells Fargo and external parties and gifts exchanged between employees.
• Analyze and respond to employee pre-clearance requests and inquiries in accordance with the Conflicts of Interest and Outside Activities, and Gifts and Entertainment Policies and other related line of business policies utilizing the Global Preclearance System (GPS)
• Provide support in developing and overseeing standards with some business and functional knowledge
• Support the reporting, escalation and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
• Provide advice, counsel and interpretation of Enterprise Conflicts of Interest and Outside Activities and Gifts and Entertainment Policies and related line of business policies to employees, management and partners as needed
• Collaborate with peers and colleagues on various projects and initiatives related to pre-clearance, policies and GPS
• Assist in developing pre-clearance related training and/or communications that are effective in domestic and international business environments
• Identify and recommend opportunities for process improvement and risk control development
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications, US:

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

Desired Qualifications:

• Ability to develop partnerships and collaborate with other business and functional areas
• Ability to gather, organize, and interpret data
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Ability to work independently
• Excellent verbal, written, and interpersonal communication skills
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Solid critical thinking skills
• Strong analytical skills with high attention to detail and accuracy
• Experience in ethics, operational risk or other functions that involve policy application, interpretation, and consultation
• Interact with internal customers
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Knowledge and understanding of regulatory compliance requirements surrounding financial services.
• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles, such as FINRA and CFTC
• Ability to interpret policies, apply to situations and draw conclusions

Job Expectations:

Willingness to travel up to 10% of the time.

This position offers a hybrid work schedule

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

Preferred locations listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo Corporate Risk employees.

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 CRF 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 We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Drug and Alcohol Policy

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