Lead Compliance Officer

1 month ago

Hyderabad, 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 programs
Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
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
Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management and appropriate committees
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
Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate to high-risk compliance matters
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

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

Desired Qualifications:
The role requires Compliance SME knowledge for India & Philippines In-country Laws & Regulations across areas of HR, Finance, Corporate Secretarial, Environment Health & Safety, Technology and providing Reporting and Governance.

Job Expectations:
It will be accountable for monitoring compliance to all applicable policies, laws, regulations, RSCA and other Compliance program elements oversight. Additionally, it requires Reporting of Compliance matters to Regulators, Legal Entity Boards, US IRM/Compliance Leadership, I&P Leadership and other key stakeholders.

Knowledge and exposure to India regulations both BFSI and Operations is good to have. US Regs and work on Policies and Procedure reviews and implementation would be good to have. Prior experience in Compliance Risk and Control functions will be required.

Posting End Date:
30 Dec 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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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