Compliance Specialist
7 days ago
Wells Fargo is seeking a Compliance Specialists to join the Insurance Licensing & Enterprise Registrations teams in India.
The Insurance Licensing team works alongside Wealth Investment Management to aid in the process of licensure where Financial Advisors, their support team and licensed bankers are involved. This includes processes to keep our system of record up to date with appropriate insurance licenses, continuing education, and Insurance Carrier appointments to allow Financial Advisors to do business with Wells Fargo customers in the form of Life Insurance or Annuity business.
Enterprise Registration team is responsible for administering Initial filing and transfer of registrations of employees for the Firm supporting all Wells Fargo Lines of Business. Team also provides support and guidance to various business partners relating to their respective registration needs. This team maintains related registration records in accordance with applicable FINRA and Securities and Exchange Commission requirements, and support Compliance in inspections of registered Office of supervisory jurisdiction manager, branches, and non-registered locations. The team's coverage is global.
In this role, you will:
- 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
- Support the oversight or monitoring of a risk-based compliance program
- Provide support in developing and overseeing standards with some business and functional knowledge
- Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
- Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
- Support the 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 support in reporting findings and drafting recommendations to management
- Support and implement initiatives with low to moderate risk
- Interact with team to support risk oversight and monitoring
- Manage and ensure accuracy of data
- Troubleshoot system issues to determine root cause
- Research and implement new regulatory rules and manage other Registration Team related projects
- Identify and recommend opportunities for process improvement and risk control development
- Establish and maintain effective relationships with various teams
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Interact with internal customers
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
- 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Knowledge and understanding of Insurance Licensing & Enterprise Registrations programs or Enterprise compliance Operations
- Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Working knowledge of the Compliance Supervisory Control System (CSCS)
- Knowledge and understanding of Investment Banking
- Knowledge and understanding of Wealth Investment Management
- Advanced written, verbal, and interpersonal communication skills
- Willingness to work on-site at stated location on the job opening
12 Jun 2024
*Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
-
Compliance Specialist
7 days ago
Hyderabad, Telangana, India WELLS FARGO BANK Full timeAbout this role:Wells Fargo is seeking for a Compliance Specialist.In this role, you will: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 decisionsSupport...
-
Hyderabad, Telangana, India M365Connect Full timeJob Role: Microsoft 365 Security and Compliance Specialist Location: Remote Job Overview: We're seeking a highly skilled Microsoft 365 Security and Compliance Specialist to ensure our organization's data integrity and adherence to industry standards. This role will be pivotal in developing and maintaining a secure Microsoft 365 environment by implementing...
-
Compliance Specialist
7 days ago
Hyderabad, Telangana, India WELLS FARGO BANK Full timeResponsibilities:Establish, implement, and maintain risk standards and programs to ensure compliance with regulatory and Corporate Policy requirements.Oversee the execution of third-party requirements and challenge compliance decisions.Provide oversight of risk-based compliance programs.Offer expertise in business knowledge for third-party...
-
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
QA & Compliance, Test Automation Specialist/Lead
4 weeks ago
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
QA & Compliance, Test Automation Specialist/Lead
3 weeks ago
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
Hyderabad, Telangana, India Alight Full timeJoin our team. Because transformation takes a workforce. Learn more at . Our story At Alight, we believe a company's success starts with its people. It's why we're so driven to connect passion with purpose. Our team's expertise in human insights and cloud technology, allows companies and employees around the world to transform and thrive. With a...
-
Sr Compliance Specialist
7 days ago
Hyderabad, Telangana, India WELLS FARGO BANK Full timeAbout this role:Wells Fargo is seeking a...In this role, you will:Support the oversight or monitoring of a risk-based compliance programProvide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional areaContinuously monitor electronic communications including emails, instant messages, and...
-
QA & Compliance Specialist
7 days ago
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
QA & Compliance Specialist
2 weeks ago
Hyderabad, Telangana, India Alight Full timeYour candidacy is currently being considered for a requisition for an Alight Inc group company. As you may be aware, Alight has announced intent to divest its Payroll & Professional Services business to HIG Capital. After the transaction closes, this position will be aligned to the new Payroll & Professional Services owned by HIG Capital ('Divested Group')....
-
QA & Compliance, Test Automation Specialist/Lead
4 weeks ago
Hyderabad, Telangana, India Alight Full timeOur storyAt Alight, we believe a company's success starts with its people. It's why we're so driven to connect passion with purpose. Our team's expertise in human insights and cloud technology, allows companies and employees around the world to transform and thrive. With a competitive total rewards package, continuing education and training, and tremendous...
-
Hyderabad, Telangana, India Alight Full timeOur storyAt Alight, we believe a company's success starts with its people. It's why we're so driven to connect passion with purpose. Our team's expertise in human insights and cloud technology, allows companies and employees around the world to transform and thrive. With a competitive total rewards package, continuing education and training, and tremendous...
-
QA & Compliance, Test Automation Specialist/Lead
3 weeks ago
Hyderabad, Telangana, India Alight Full timeOur storyAt Alight, we believe a company's success starts with its people. It's why we're so driven to connect passion with purpose. Our team's expertise in human insights and cloud technology, allows companies and employees around the world to transform and thrive. With a competitive total rewards package, continuing education and training, and tremendous...
-
Hyderabad, Telangana, India Alight Full timeJoin our team. Because transformation takes a workforce. Learn more at .Our storyAt Alight, we believe a company's success starts with its people. It's why we're so driven to connect passion with purpose. Our team's expertise in human insights and cloud technology, allows companies and employees around the world to transform and thrive.With a competitive...
-
Hyderabad, Telangana, India WELLS FARGO BANK Full timeAbout this role: The Sr. Compliance Specialist is responsible for monitoring the flow of material nonpublic information (MNPI) and preventing/detecting the misuse of MNPI using an information barrier program, a key component of which is trade surveillance. The Enterprise Compliance Control Group surveillance team is tasked with monitoring employee, and...
-
Hyderabad, Telangana, India WELLS FARGO BANK Full timeAbout this role:Wells Fargo is seeking a Business Accountability Specialist to join the CIB Global FrontLine Risk Program Execution Team. The Global Front Line Risk Program Execution is a function within the CIB COO - Risk Programs pillar. The team has the key focus to maintain, operate and deliver core front line risk and compliance programs and adopt a...
-
Hyderabad, Telangana, India WELLS FARGO BANK Full timeAbout this role:Wells Fargo is seeking a Business Accountability Specialist to join the CIB Global FrontLine Risk Program Execution Team. The Global Front Line Risk Program Execution is a function within the CIB COO - Risk Programs pillar. The team has the key focus to maintain, operate and deliver core front line risk and compliance programs and adopt a...
-
QA & Compliance Specialist
7 days ago
Hyderabad, Telangana, India Alight Full timeOur story At Alight, we believe a company's success starts with its people. At our core, we Champion People, help our colleagues Grow with Purpose and true to our name we encourage colleagues to "Be Alight." Our Values: Champion People – be empathetic and help create a place where everyone belongs. Grow with purpose – Be inspired by our...
