Compliance Associate

5 months ago

Bengaluru, India Wells Fargo Full time

**About this role**:
Wells Fargo is seeking a Compliance Associate.

**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
- Provide assistance and support for various compliance duties and activities associated with a risk based compliance program
- Support projects and initiatives with low risk for a business line or functional area
- Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Assist with the administration of compliance training, coordinate production of compliance reporting and metrics, and help with compliance testing and validation plans, strategies and methodologies as directed, including collating data contributing to the drafting of testing and validation reports of findings and recommendations for management
- Understand policy and procedures, evaluate their effectiveness and escalate opportunities for improved service
- Identify potential process gaps and provide input to development and delivery of training
- Gather information for examinations conducted by internal and external parties
- Establish and maintain effective relationships with various teams
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Provide guidance to less experienced staff
- 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

**Job Expectations**
- Brokerage statements of Wells Fargo Team Members who are "covered" under the Personal Investment Policy are required to be submitted WF Securities Compliance Team.
- Being a regulatory compliance risk function maintaining accuracy is of utmost importance. Eye for detail is key attribute required.

**Required Qualifications**:

- Minimum 2-3 years of experience in banking / financial services operations/ Risk and Compliance.
- Must have Knowledge of US & Indian Securities / Capital Markets
- Knowledge of Various Securities products (Equity, Debt, Futures and Options, Mutual Funds) etc.

**Desired Qualifications**:

- Bachelor's Degree in Commerce or Business Management
- Good verbal and written communication skills
- Eye for details / Ability to connect the dots

**We Value Diversity**

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.

**Drug and Alcohol Policy**

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

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