Senior Compliance Specialist, Wells Fargo

Wells Fargo

Location:
India, Hyderabad

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Senior 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, providing oversight and monitoring of risk-based compliance programs, and developing standards. The specialist will provide subject matter expertise, compliance risk expertise, and consulting for projects and initiatives with moderate risk for a business line or functional area. Responsibilities also include monitoring reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management, and providing direction to the business on developing corrective action plans and effectively managing regulatory change.

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
2 years of minimum experience in risk management in Banking and Financial Services, (includes compliance, regulatory change management, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management)
Experience in Compliance or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Candidates with Microsoft PowerApps/WorkSmart preferred
Excellent verbal and written communication skills
Ability to articulate complex concepts in a clear manner
Advanced Microsoft Office/Excel 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 of Electronic Communications compliance an advantage
Familiarity with Wealth Investment Management business processes a plus

Nice to have:

Candidates with Microsoft PowerApps/WorkSmart preferred
Excellent verbal and written communication skills
Ability to articulate complex concepts in a clear manner
Advanced Microsoft Office/Excel 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 of Electronic Communications compliance an advantage
Familiarity with Wealth Investment Management business processes a plus

Additional Information:

Job Posted:
May 15, 2025

Expiration:
May 18, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Compliance Specialist