Wells Fargo Senior Compliance Specialist - CIB Monitoring & 

India, Karnataka, Bengaluru 

562967108

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:

• Strong attention to detail and commitment to high quality deliverables
• Fast learner with the ability to understand and apply complex compliance guidance
• Strong organizational and time management skills with the ability to manage multiple priorities
• Strong communicator with the ability to allow collaborate across teams and functions
• Critical thinking and problem-solving skills
• Experience or familiarity with compliance, controls, or risk preferred
• Ability to work independently while also contributing to team efforts

Job Expectations:

• Key responsibilities for Monitoring Activities

• Support the governance of compliance monitoring activities across the program
• Perform quality reviews of monitoring results and activities to ensure accuracy, consistency, and completeness
• Maintain and update monitoring documentation and procedures regularly
• Develop and deliver recurring and ad hoc monitoring reports for stakeholders and senior leadership
• Partner with compliance officers to understand risks tied to monitoring activities
• Assist in implementing guidance or changes to monitoring standards, templates, and procedures
• Execute monitoring activities at defined frequencies and aligned with documented monitoring plans
• Provide support to compliance officers and monitoring leads by collecting, reviewing, and organizing relevant information for assessments
• Ensure monitoring activities and outputs are timely, well documented, and audit ready
• Key responsibilities for GRC activities

• Team member is responsible for managing reporting across multiple lines of business within Corporate and Investment Banking (“CIB”) Compliance. This role requires a strong understanding of the Shared Risk Platform (“SHRP”) Compliance Program Policy, Regulatory Change Management Policy, and related procedures, also ensuring the accuracy and integrity of data within the SHRP system of record, particularly data associated with Major Requirement Evaluations, but also Regulatory Inventory. The Compliance Officer will also oversee reporting processes and coordinate with CIB Business-Aligned Compliance Officers (“BACOs”) to ensure timely updates and data maintenance.

Wells Fargo Recruitment and Hiring Requirements:

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