Job Description :
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 'Compliance Associate' Statement Review:
The prospective candidate will be responsible for assisting with the compliance to Information Barrier Program.
Brokeragestatements of Wells Fargo Team Members who are 'covered' under the Personal Investment Policy are required to be submittedWF Securities Compliance Team.
Being a regulatory compliance risk function maintaining accuracy is of utmost importance. Eye for detail is key attribute required.
Required Qualifications Compliance Associate Statement Review :
Minimum 2-3 years of experience in banking / financial services operations/ Risk and Compliance.
Must have Knowledge of US & IndianSecurities / Capital Markets
Knowledge of Various Securities products (Equity, Debt, Futures and Options, Mutual Funds) etc.
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
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, or status as a protected veteran.
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.