Job Information
Wells Fargo Compliance Manager - Compliance Risk and Governance Programs in Bengaluru, India
About this role:
Wells Fargo is seeking a Compliance Manager.
In this role, you will:
Manage a team responsible for establishing, implementing and maintaining 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
Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
Provide compliance risk and regulatory expertise for compliance program elements
Recommend opportunities for process improvement and risk control development
Manage coordination and communication with leadership regarding compliance risks
Implement strategic initiatives with moderate risk and complexity
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and influence all levels of professionals including managers
Lead team to achieve objectives
Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
Manage allocation of people and financial resources for Compliance
Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of Leadership experience
Desired Qualifications:
Good team handling experience and 4 years into Risk and Compliance.
Experience providing supervisory team oversight such as Quality Assurance and Scenario Calibrations.
Prior Compliance Control Group or surveillance related experience.
Proficient knowledge of data sets for trading in Equity products, including but not limited to quotes, orders and executions.
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Critical Thinking and experience in quality assurance
Ability to interact with all levels of an organization
Adaptable to a collaborative work environment with multiple priorities and strict timelines
Job Expectation:
- Lead CIB Compliance Risk and Governance Programs team, which is part of the broader Business Aligned Compliance Risk team that reports into the Chief Compliance Officer of Wells Fargo Corporation. As a part of Wells Fargo's second line of defense and Independent Risk Management team, covers jobs responsible for establishing, implementing, and maintaining risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory and/or Corporate Policy requirements.
Posting End Date:
30 Jan 2025
*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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.
Req Number: R-423973