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Senior Compliance Specialist - Trade Surveillance

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
India , Hyderabad

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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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
  • Deep knowledge of Personal Account Dealing (PAD) regulations and global market conduct rules, including FINRA, SEC, FCA, and other relevant frameworks.
  • Experience in trade surveillance and alert investigation, with the ability to identify potential insider trading or policy breaches.
  • Strong analytical and problem-solving skills, including proficiency in interpreting complex trading data and compliance systems.
  • Excellent communication and documentation abilities to prepare clear investigation reports and liaise with internal stakeholders and regulators.
  • Proficiency in compliance tools and systems (e.g., trade monitoring platforms, data analytics tools) and advanced Excel skills for data analysis.

Additional Information:

Job Posted:
January 31, 2026

Expiration:
February 03, 2026

Employment Type:
Fulltime
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