Senior Compliance Specialist

1 month ago

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

Wells Fargo is seeking a Senior Compliance Specialist to join the Outside Activities Compliance Review (OAC) Team and related program within the Enterprise Compliance Operations (ECO) group in Corporate Risk. The OAC Team is 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 adherence to FINRA and CFTC regulatory requirements for the Enterprise and impacted employees.

Key Responsibilities
  • Interpret policies, procedures, and compliance requirements and work with various partners as needed to review and decision pre-clearance related matters, while assessing for actual, potential, and perceived conflicts of interest and risk related to team member outside activities, gifts, and entertainment exchanged between Wells Fargo and external parties and gifts exchanged between employees.
  • Analyze and respond to employee pre-clearance requests and inquiries in accordance with the Conflicts of Interest and Outside Activities, and Gifts and Entertainment Policies and other related line of business policies utilizing the Global Preclearance System (GPS).
  • Handle complex reviews such as Municipal Solicitor, political contributions of covered employees, and Private Securities Transactions in accordance with enterprise and line of business policy requirements.
  • 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 support in developing and overseeing standards with some business and functional knowledge.
  • Support the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
  • Provide advice, counsel, and interpretation of Conflicts of Interest and Outside Activities and Gifts and Entertainment Policies and related line of business policies to employees, management, and partners as needed.
  • Collaborate with peers and colleagues on various projects and initiatives related to pre-clearance, policies, and GPS.
  • Assist in developing pre-clearance-related training and/or communications that are effective in domestic and international business environments.
  • Identify and recommend opportunities for process improvement and risk control development.
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
Requirements
  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Desired Qualifications
  • Experience in ethics, operational risk, or other functions that involve policy application, interpretation, and consultation.
  • Ability to develop partnerships and collaborate with other business and functional areas.
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
  • Ability to take on a high level of responsibility, initiative, and accountability.
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important.
  • Excellent verbal, written, and interpersonal communication skills.
  • Strong critical thinking and analytical skills with high attention to detail and accuracy.

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