Wells Fargo Sr Compliance Specialist - Equity Aggregation 

India, Telangana, Hyderabad 

270446058

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 oversight and monitoring of risk-based compliance programs
• Develop and oversee standards
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide compliance risk expertise
• Consult for projects and initiatives with moderate risk for a business line
• Identify and recommend opportunities for process improvement and risk control development
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management appropriate committees
• 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 risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

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

Desired Qualifications:

• U.S. large shareholder disclosures (Form 13F, Schedule 13D/G, Section 16)
• Large Shareholder Reporting (EMEA, APAC, Canada, LATAM)
• Takeover Panel Reporting
• Short Selling Reporting
• Sensitive Industry monitoring, including Bank Holding Company Act, Insurance, etc.
• Issuer initiative listed, including US poison pill
• Section 17 of the 1940 Act
• 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 policiesand regulationsand evaluate them against current processes
• Ability to produce high level summary analysis reports in a meaningfuland understandableformat

Job Expectation:

Equity Aggregation Compliance is seeking a senior compliance specialist with experience in implementing and maintaining a comprehensive compliance program. The Equity Aggregation Compliance specialist will support Equity Aggregation Compliance by

(1) evaluating the adequacy and effectiveness of procedures and processes

(2) reviewing internal controls and developing necessary corrective action plans,

(3) designing and coordinating the development of training materials and coordinating the delivery of the training,

(4) maintaining a robust monitoring and reporting program for Americas and International disclosure regulations;

(5) developing and maintaining relationships with LOB Compliance, LOB Legal and Control Room;

(6) reviewing, validating and reconciling equity positions across the Enterprise;

(7) managing and tracking regulatory changes;

(9) supporting the Securities and Monitoring Product.

29 Apr 2025

Wells Fargo Recruitment and Hiring Requirements:

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