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Regulatory Compliance-Business Accountability Specialist

2 months ago

hyderabad, India WELLS FARGO BANK Full time
About 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 shared service model for Lines of Businesses to leverage central expertise. The BAS will focus on design, enablement and execution of front-line compliance activities. As well as coordinate, execute, and support a variety of front-line compliance activities and controls across CIB businesses globally to meet select Enterprise policy and program governance requirements.
The primary responsibilities revolve around obtaining, sorting, analyzing, understanding and reporting risk management data sets to drive governance, risk reporting and risk mitigation strategies across the portfolio. The outcomes of the work will influence senior leadership decisions around risk mitigation investments and will generate transparency of risk mitigation outcomes to key constituents and regulatory bodies. The role will support innovation of new routines, sustainable execution of existing routines and will support ad-hoc requests related to emerging risks and organizational needs.
In this role, you will:
  • Support implementation of strategic initiatives.
  • Engage in Enterprise Risk Program activities and support various measurement, assessment, governance and reporting routines to ensure the current state of risk management effectiveness is appropriately reflected.
  • Support identification of operational and compliance risks, potential issues, or gaps; and provide consistent and sustainable risk mitigating solutions.
  • Drive accountability for assigned initiatives, limit risk exposure, and create efficiencies as appropriate.
  • Collaborate and consult with members of the CIB Compliance Regulation and Risk Metrics team and leadership team to drive effective completion of BAU activities and strategic initiatives.
Required Qualifications
  • 2+ years of Management Consulting, Strategy Consulting, or Business Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Desired Qualifications
  • 7+ years of Financial Services experience in operational or compliance risk management, including Fraud Risk Management, Privacy, Volcker Rule, Insider Activities (Regulation O), and Transactions Between Banks and Their Affiliates (Regulation W), and Accessibility for Customers and Employees with Disabilities programs.
  • 7+ years of Capital Markets experience, including knowledge of business products, processes, and controls.
  • Strong experience executing, leading, and coordinating operational risk and/or compliance programs and governance activities across a global footprint.
  • Strong experience with Risk and Control Self-Assessment (RCSA) and Risk Measurement programs.
  • Strong ability to identify risk areas, evaluate trends and root causes, and recommend risk mitigation solutions where applicable.
  • Proven ability to manage multiple initiatives simultaneously.
  • Strong analytical skills with high attention to detail and accuracy.
  • Experience in problem analysis, solution implementation, and change management.
  • Experience in drafting, maintaining, and editing procedures.
  • Ability to exercise independent judgement to identify and resolve problems with a focus on actionable outcomes.
  • Ability to navigate a complex and global operating environment and prioritize competing objectives.
  • Advanced Microsoft Office (Word, Excel, and Outlook) skills.
  • Excellent verbal, written, and interpersonal communication skills.
Posting End Date:
3 Oct 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.
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To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
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