Business Execution Associate

1 week ago

Bengaluru, Karnataka, India Wells Fargo Full time

Business Execution Associate - Reg W Transaction reporting**
About Wells Fargo

About Wells Fargo India


Wells Fargo India enables global talent capabilities for Wells Fargo Bank NA., by supporting business lines and staff functions across Technology, Operations, Risk, Finance, Controllership, Audit, Process Excellence, Automation and Product, Analytics and Modeling.

We are operating in Hyderabad, Bengaluru and Chennai locations. Learn more about Wells Fargo India at our International Careers website.

DEPARTMENT OVERVIEW


Enterprise Controls & Oversight ("EC&O") within the Controller's Division is a governance and oversight team dedicated to Wells Fargo's system of internal control over financial, regulatory, and risk reporting.

We are responsible for establishing policy, delivering training and guidance, and monitoring compliance with the COSO Policy and the Governance & Oversight Framework.

We work together to consistently support and monitor our system of internal control over reporting, identify opportunities for increased efficiency and effectiveness, and achieve our commitments to Wells Fargo teams, stakeholders, and regulators.


ABOUT THE ROLE
The Regulation W Governance Office has primary responsibility for the establishment and maintenance of the enterprise governance framework for compliance with Regulation W, as follows:

  • Establishes and maintains an effective enterprise framework for ensuring compliance with Regulation W, including quality assurance and control monitoring of the design effectiveness and consistent execution of business group and corporate function Reg W controls;
  • Reviews and monitors Regulation W requirements (23A & 23B) for Wells Fargo;
  • Monitors pledge collateral requirements;
  • Monitors section 23A Covered Transaction exposures;
  • Maintains the list of Regulation W affiliates and associated reporting based upon all applicable data sources, including the Global Entity Management System (GEMS), the SPE database, and the Basel DCS database;
  • Evaluates current 23A covered transaction identification and provides advice on process enhancements;
  • Evaluates processes in the 23A exposure report and addresses any control gaps identified
  • Maintains the quality assurance and quality control program to ensure accuracy of the 23A exposure report;
  • Reviews the data sources for the 23A exposure report;
  • Collaborates with crossfunctional areas (product, legal, compliance, operations, finance) and implements enhancements to the Regulation W compliance framework;
  • Reviews and identifies Regulation W impact on direct and indirect transactions with affiliates, and loans secured by affiliate collateral and any other covered transaction;
  • Establishes consistent methodology, criteria, and evidentiary standards for market terms documentation, and performs monitoring to ensure compliance and uptodate market terms documentation for covered transactions and services received from and provided to affiliates;
  • Coordinates with business group and corporate function Regulation W Points of Contact, among other stakeholders, to ensure Regulation W responsibilities are understood and are executed effectively, and in a timely manner;
  • Periodically reports on Regulation W program and status of scheduled reviews of 23B market terms to appropriate committees, the CFO, Controller, applicable functional leaders, and business heads;
  • Coordinates with audit and secondline testing on identifying and prioritizing testing plans, and assists these functions with understanding Reg W relevant processes endtoend;
  • Acts as the Application Operations Owner (AOO) under the Regulatory and Risk Reporting Governance and Oversight Framework for the Regulation W Application; and
  • Develops and provides ongoing training and communications for Regulation W governance
- pursuant to this policy.
-
RESPONSIBILTIES
Wells Fargo is seeking a Business Execution Associate within the Reg W Governance Office.

The Regulation W Governance Office has primary responsibility for the establishment and maintenance of the enterprise governance framework for compliance with Regulation W.


In this role, you will:

  • Support execution of processes, metrics and internal reporting for leadership
  • Quality assurance and control monitoring of the design effectiveness and consistent execution of business group and corporate function Reg W controls; drive process improvement, efficiency and effectiveness; participate as a SME on enterprise initiatives.
  • Coordinates with business group and corporate function Regulation W Points of Contact, among other stakeholders, to ensure Regulation W responsibilities are understood and are executed timely and effectively.
  • Assist with preparation of business desktop procedures adherence to Reg W Policy / G&O Policy requirements.
  • Interfaces directly with business and corporate function stakeholders to followup on open transactional and documentation issues.
  • Assists wit

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