Senior Compliance Specialist

4 weeks ago


Hyderabad, Telangana, India WELLS FARGO BANK Full time
About the Role

We are seeking a Senior Compliance Specialist to join our Enterprise Compliance Operations team in Corporate Risk. As a key member of our Outside Activities Compliance Review team, you will be responsible for assessing, analyzing, and responding to employee disclosures, requests, and inquiries in accordance with Wells Fargo's Code of Ethics and Business Conduct, Conflicts of Interest and Outside Activities, Gifts and Entertainment Policies, and regulatory requirements.

Key Responsibilities
  1. Interpret policies, procedures, and compliance requirements to review and decision pre-clearance related matters, assessing conflicts of interest, risk, and compliance with regulations.
  2. Analyze and respond to employee pre-clearance requests and inquiries using the Global Preclearance System (GPS).
  3. Handle complex reviews, including municipal solicitor, political contributions of covered employees, and private securities transactions, in accordance with enterprise and line of business policy requirements.
  4. Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory requirements.
  5. Oversee the front line's execution and challenges on compliance-related decisions.
  6. Provide support in developing and overseeing standards with business and functional knowledge.
  7. Support reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
  8. Provide advice, counsel, and interpretation of Conflicts of Interest and Outside Activities and Gifts and Entertainment Policies and related line of business policies.
  9. Collaborate with peers and colleagues on projects and initiatives related to pre-clearance, policies, and GPS.
  10. Assist in developing pre-clearance-related training and communications.
Requirements
  • 4+ years of compliance experience or equivalent demonstrated through work experience, training, military experience, or education.


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