Wells Fargo India | Compliance Specialist - Personal Account Dealing

Responsibilities

• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
• Support the oversight or monitoring of a risk-based compliance program.
• Provide support in developing and overseeing standards with some business and functional knowledge.
• Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area.
• Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters.
• Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
• Provide support in reporting findings and drafting recommendations to management.
• Support and implement initiatives with low to moderate risk.
• Interact with team to support risk oversight and monitoring.
• Research and implement new regulatory rules and manage other Registration Team related projects.
• Identify and recommend opportunities for process improvement and risk control development.
• Establish and maintain effective relationships with various teams.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
• Manage and ensure accuracy of data
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Interact with internal customers
• Work as an individual contributor

Requirements

• 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• Strong excel and communication skills.
• Experience in Personal Account Dealing is desirable.
• Ability to work with multiple peoples and organize.
• 2+ years of experience in PAD

Wells Fargo

Wells Fargo & Company is one of the largest banks in the United States, offering consumer and commercial banking, corporate and investment banking, and wealth and investment management. Its India arm, Wells Fargo International Solutions, supports these global businesses from Hyderabad, Bengaluru and Chennai.

Wells Fargo's India centres hire finance professionals across financial reporting, accounting, tax, treasury, audit, risk, compliance, lending operations and investment operations. Many of these roles suit CA, CFA, MBA (Finance), ACCA, CPA holders and commerce graduates.

• Industry: Banking and financial services
• Headquarters: San Francisco, USA
• In India: Large international services centres in Hyderabad, Bengaluru and Chennai (Wells Fargo International Solutions)