Compliance Director - Regulatory Inventory Management

About this role:

We are seeking a dynamic and strategic Regulatory Inventory Director to lead the governance and execution of the firm's regulatory inventory of Material Compliance Requirements (MCRs). This role blends compliance leadership with Agile product ownership, technology delivery, and operational oversight. The ideal candidate will demonstrate executive presence, a servant leadership style, and the ability to represent the firm in regulatory exams and industry engagements.

Key Responsibilities:

Compliance & Regulatory Oversight

• Manage and maintain the regulatory inventory of Material Compliance Requirements (MCRs) across jurisdictions, legal entities, and business lines.
• Oversee regulatory change implementation for the centralized global inventory and ensure impact the team completes analyses to support the library of major requirements.
• Implement integration of regulatory updates to applicable banking laws, rules, regulations, and enforceable guidance to ensure compliance and mitigate risk.
• Act as a primary point of contact for regulatory inquiries related to the inventory and associated compliance programs.
• Prepare and present materials for regulatory exams, audits, and supervisory interactions with confidence and clarity.

Agile Product Ownership & Technology Delivery

• Define vision, prioritize backlogs, and collaborate with technology teams to deliver scalable, user-centric solutions.
• Own the full lifecycle of a compliance technology application, ensuring performance, data integrity, and operational readiness.
• Oversee execution of control activities related to system access, data quality, and change management.

Operational Management & Leadership

• Recommend and implement process improvements and risk mitigation strategies.
• Ensure alignment with enterprise risk management frameworks and regulatory expectations Identify and escalate compliance risks, deficiencies, and regulatory matters; ensure timely remediation and resolution.
• Lead a high-performing team by fostering collaboration, empowerment, and accountability.
• Develop and guide a culture of talent development and continuous improvement.
• Identify and escalate issues, deficiencies, and regulatory matters; ensure timely remediation and resolution.
• Recommend and implement process improvements and risk control enhancements.
• Oversee execution of regulatory change management controls, processes, and issues.

Stakeholder Engagement

• Collaborate with senior leaders across Legal, Audit, Risk, and Business Units to align compliance strategy and execution.
• Communicate complex regulatory and compliance topics with clarity and confidence to executive audiences.
• Build and maintain strong relationships with regulators, industry partners, and internal stakeholders.
• Ensure alignment with enterprise risk management frameworks and regulatory expectations.

Agile Product Ownership & Technology Delivery

• Define vision, prioritize backlogs, and collaborate with technology teams to deliver scalable, user-centric solutions.
• Own the full lifecycle of a compliance technology application, ensuring performance, data integrity, and operational readiness.
• Oversee execution of control activities related to system access, data quality, and change management.

Required Qualifications:

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

Desired Qualifications:

• Proven experience managing regulatory inventories.
• Demonstrated success in managing regulatory exams and audit deliverables and engagements.
• Strong understanding of regulatory requirements (e.g., SEC, FINRA, CFTC, global equivalents).
• Demonstrated success in leading teams and managing complex projects.
• Excellent communication, stakeholder management, and analytical skills.
• Experience with compliance technology platforms and data governance.
• Proven experience in Agile product ownership, technology delivery, and application lifecycle management.
• Strong understanding of U.S. banking regulations, regulatory change management, and compliance operations.
• Demonstrated executive presence and ability to lead through influence and collaboration.
• Experience with regulatory inventory systems and governance frameworks.
• Familiarity with global regulatory environments and multi-jurisdictional compliance or equivalent experience.
• Strong project management and stakeholder engagement skills.

Job Expectations:

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.
• Willingness to work on-site at stated location on the job opening.

Job Posting Location:

• 401 S Tryon St Charlotte, NC

Posting End Date:
4 Aug 2025
*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 unit's risk appetite and all risk and compliance program requirements.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability 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.