Senior Compliance Specialist - Securities/Bonds/Equities Job at Wells Fargo (Hyderabad)

Job Description

Wells Fargo is seeking a Senior Compliance Specialist

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
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 with moderate risk for a business line or functional area
Monitor 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 compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line
Identify and recommend opportunities for process improvement and risk control development
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management appropriate committees
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, 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
Preferred candidates should have strong securities knowledge (e.g., equities, options, bonds). The candidate should also have skill sets in effective risk identification and control enhancement, rather than reliance on existing surveillance review processes alone.

Nice to have

strong securities knowledge (e.g., equities, options, bonds)
skill sets in effective risk identification and control enhancement, rather than reliance on existing surveillance review processes alone

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Senior Compliance Specialist - Securities/Bonds/Equities

Job Description

Job Responsibility

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