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Lead Compliance Officer

3 months ago

Bengaluru, India WELLS FARGO BANK Full time
About this role:Wells Fargo is seeking a Lead Compliance Officer...In this role, you will:

Provide oversight and monitoring of business group risk based compliance programsMaintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business linesEstablish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirementsOversee the Front Line's execution and challenges appropriately on compliance related decisionsDevelop, oversee, and provide independent credible challenge to standards with subject matter expertiseProvide direction to the business on developing corrective action plans and effectively managing regulatory changeReport findings and make recommendations to management and appropriate committeesIdentify and recommend opportunities for process improvement and risk control developmentReceive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsMonitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk managementOversee the Front Line's execution and challenges appropriately on compliance related decisionsMake decisions and resolve issues to meet business objectivesInterpret policies, procedures, and compliance requirementsCollaborate and consult with peers, colleagues and managers to resolve issues and achieve goalsWork with complex business units, rules and regulations on moderate to high risk compliance mattersInterface with Audit, Legal, external agencies, and regulatory bodies on risk related topicsRequired Qualifications:

5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationExperience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationDesired Qualifications:

•Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.• FINRA Series 24 or 9/10 exam to qualify for immediate registration (or FINRA recognized equivalents) preferred4 + years' experience in reviewing advertising/promotional material.•Excellent writing and editorial skills.Solid knowledge of products offered through Broker Dealers, RIA's and/or Bank Trust Departments•Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.•Strong administrative and organizational skills in a deadline-driven environment.•Ability to work independently and also as part of a high-functioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.•Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fast-paced, deadline driven environment.•Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social End Date:*Job posting may come down early due to volume of applicants.We Value DiversityAt 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.