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Senior Lead Compliance Officer
3 months ago
Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.
Compliance Conduct Risk is an independent risk management function responsible for establishing requirements and providing independent assessment of, and challenge to, front line management of conduct risks (including conflicts of interest and inappropriate sales practices).
The Senior Lead Compliance Officer will support Conduct Risk in India and Philippines. You will understand both the Enterprise Conduct Risk framework along with associated policies, and relevant Conduct Risk related rules, laws and regulations, including local requirements how these apply to India and the Philippines. You will also act as point person and liaison between the enterprise Conduct Risk organization and the region.
This role will have a dual reporting line into Enterprise Conduct Risk and India and Philippines Leadership. It will support both the Conduct Risk governance and Conduct Risk Oversight functions.
In this role, you will:
Interface with the India & Philippines leadership team
Provide Subject Matter Expertise for local laws, regs, and principles (impacting any CR Policy, or regional/country policies) and advise Wells Fargo India and the Philippines First and Second Line relevant Conduct Risk requirements and how these apply within India and the Philippines
Deploy locally required conduct risk training and communications as needed, in partnership with global program experts.
Front Line Review and Challenge of Conduct Risk related materials and processes
Collaborate with Business Aligned Compliance Officers in completion of the Compliance Aggregated Risk Assessments
Conduct Risk related monitoring and oversight activities (Identification, reviewing, directing)
Work as a part of Conduct Risk in addressing any issues arising from regulatory and or other examinations (including internal audit, testing and validations etc.). concerning the Conduct Risk function / Conduct Risk management in India and the Philippines
Point person to align and legal entity board or committee commentary.
Hold Region/Conduct Risk tactical coordination meetings.
Support audits and regulatory requests
Provide Conduct Risk Independent Risk Management updates to Regional leadership.
Provide content for Regional Risk Review meetings.
Complete ad hoc requests
Manage a regional playbook containing key information for the region.
Provide consultation for the regional aspect of Risk Control Self Assessments
Act as point of contact for policies and procedures (drafting as necessary) which fall within the team's remit.
Support conduct risk policies in region including review Conduct Risk policy implementation requirements for the region.
Support regional policy refreshes, development, and addendums to enterprise policies, regional policy implementation tracking
Support review and challenge business procedure responsibilities related to regional policy.
Report on Conduct Risk matters to relevant local forums as required / requested (from a Second Line perspective).
Required Qualifications
10+ years of experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Desired Qualifications:
University bachelor's degree
Background with Indi and or Philippines Conduct Risks, Ethics, Conflicts of Interest, at financial institutions and or consultancy firms.
Proven background / exposure to risk and control frameworks / projects.
Experience with enterprise Compliance programs, including conduct risk identification and assessment processes, issue management, and training.
Excellent knowledge of international regulatory environment and how conduct risk and regulatory requirements apply to banking lines of business is essential. Proven experience of oversight of conduct risk frameworks.
Strong stakeholder management skills and ability to think strategically, act swiftly and deliver results transparently and timely are essential.
Candidate must have expert analytical skills with experience in collecting, analyzing, and synthesizing information on various subjects.
Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results.
Team work and Leadership with a proven track record of working collaboratively across multiple geographies, business lines and with stakeholders and colleagues at all levels but also of taking the lead as needs dictate.
A self-starter who is proactive with ability to identify key issues, and obtain appropriate information for further analysis.
Ethical integrity and proven ability to serve as a role model by reinforcing and demonstrating to team members the core values and behavioral expectations contained in Wells Fargo's Code of Conduct.
Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment.
Ability to negotiate, influence, and collaborate to build successful relationships and outcomes.
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment.
Excellent verbal, written, and interpersonal communication skills.
Ability to prepare and present senior level communications.
Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
A Risk or Compliance related certification such as: Certified Risk Compliance Manager (CRCM), Certificate in Operational Risk Management (ABA), Certificate In Risk Management (CRMA), Certified Risk And Compliance Management Professional (CRCMP), Certified Compliance & Ethics Professional (CCEP), Certified Risk Professional Program (CRP), Certified Enterprise Risk Professional (CERP)
Job Expectations:
Willingness to work on-site at stated location on the job opening.
Preferred locations : Bangalore India
Posting End Date:
30 Jul 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.
