Wells Fargo Lead Compliance Officer - Equity Aggregation 

India, Telangana, Hyderabad 

55829532

About this role:

This position will be a key role to cover daily activities of

In this role, you will:

• support the Americas Equity Aggregation Compliance Lead by:
• evaluating the adequacy and effectiveness of procedures and processes that are being transitioned to the equity aggregation team,
• reviewing internal controls and developing necessary corrective action plans,
• designing and coordinating the development of training materials and coordinating the delivery of the training,
• maintaining a robust monitoring and reporting program for Americas equity aggregation regulations;
• developing and maintaining relationships with LOB Compliance, LOB Legal and Control Room.
• reviewing, validating and reconciling equity positions across the Enterprise.
• managing and tracking regulatory changes.
• providing leadership by coaching, training, and mentoring teammates; and
• supporting the Global Equity Aggregation Project.

The Equity Aggregation Compliance Officer will be responsible for monitoring, reviewing and analyzing Wells Fargo and its subsidiaries’ ownership in public equities to ensure compliance with and reporting obligations in the following:

• U.S. large shareholder disclosures (Form 13F, Schedule 13D/G, Section 16)
• Canada and Latin America large shareholder disclosures
• Americas industry monitoring and reporting, including State-specific limits and reporting requirements
• U.S. poison pill reviews
• Certain 40 Act requirements, including Section 17

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:

• 5+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
• Intermediate Microsoft Office Skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of the organization
• Ability to take initiative and work independently with minimal supervision in a structured environment
• Ability to review policies and regulations and evaluate them against current processes
• Ability to produce high level summary analysis reports in a meaningfuland understandableformat
• Ability to develop, automate, and streamline monitoring reports
• Knowledge and understanding of process flow or procedure writing

Other Desired Qualifications

• Demonstrated experience of implementing compliance programs

• Knowledge and understanding of public equity product types
• Knowledge and understanding of Investment tools such as Bloomberg

• Knowledge and understanding of financial services industry: compliance or regulatory
• Microsoft Excel spreadsheets experience manipulating and analyzing data

26 Feb 2025

Wells Fargo Recruitment and Hiring Requirements:

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