Senior Compliance Specialist - Trade Surveillance, Wells Fargo

Wells Fargo

Location:
India, Hyderabad

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Senior Compliance Specialist for Trade Surveillance. The role involves establishing and maintaining risk standards, overseeing compliance programs, providing subject matter expertise, and ensuring regulatory compliance in a complex financial services environment.

Job Responsibility:

Establish, implement and maintain risk standards and programs to drive compliance
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives
Monitor reporting, escalation, and timely remediation of issues
Provide direction to the business on developing corrective action plans
Identify and recommend opportunities for process improvement and risk control development
Interpret policies, procedures, and compliance requirements

Requirements:

4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Design and calibrate surveillance scenarios to detect anomalous trading behavior
Conduct daily reviews of exception reports and alerts generated by surveillance systems like actimize
Perform deep-dive investigations into complex trading activity
Monitor employee trading activity against restricted lists, blackout periods, and material non-public information (MNPI) events
Coordinate with IT and data teams to ensure surveillance systems are ingesting accurate and complete data
Develop and maintain surveillance dashboards and metrics
Participate in periodic tuning and back-testing of surveillance models
Stay current with regulatory developments and enforcement actions

Nice to have:

Experience with surveillance systems like actimize
Knowledge of trading behaviors like layering, spoofing, wash trades, and front-running
Ability to develop surveillance dashboards and metrics
Regulatory compliance expertise in financial services

What we offer:

Equal opportunity employment
Disability accommodations available
Drug-free workplace

Additional Information:

Job Posted:
September 24, 2025

Expiration:
September 26, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Compliance Specialist - Trade Surveillance