Compliance Specialist, Wells Fargo

Wells Fargo

Location:
India, Bengaluru

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Compliance Specialist to establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements. The role involves overseeing the Front Line's execution, supporting risk-based compliance programs, and providing compliance risk insight for projects and initiatives.

Job Responsibility:

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
Manage and ensure accuracy of data
Troubleshoot system issues to determine root cause
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
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Interact with internal customers
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Requirements:

2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Candidates with Law degree LLB/ LLM/ Companies Secretary would be preferred
Fluency in any of the foreign languages such as Chinese, Japanese, French, Spanish, and German would be an added advantage
Expertise in technology data entry related to laws, rules and regulations
Ability to follow directions for using the SHRP Governance Management system (Archer platform)
Excellent verbal and written communication skills
Ability to articulate complex concepts in a clear manner
Advanced Microsoft Office skills
Good eye for detail and accuracy
Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities
Working knowledge on SharePoint would be an added advantage

Nice to have:

Candidates with Law degree LLB/ LLM/ Companies Secretary would be preferred
Fluency in any of the foreign languages such as Chinese, Japanese, French, Spanish, and German would be an added advantage
Working knowledge on SharePoint would be an added advantage

Additional Information:

Job Posted:
June 19, 2025

Expiration:
June 24, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Compliance Specialist