Wells Fargo Lead Compliance Officer - Global Control Group 

India, Telangana, Hyderabad 

900920715

In this role, you will:

• Provide oversight and monitoring of business group risk based compliance programs
• Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
• 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
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management and appropriate committees
• Identify and recommend opportunities for process improvement and risk control development
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Make decisions and resolve issues to meet business objectives
• 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 to high risk compliance matters
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

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:

• Handle the day-to-day control room activities and support follow the sun coverage model
• Maintain the Bank’s Watch List and Restricted List and liaise with the front line to obtain the deal updates
• Review and facilitating the barrier crossing requests
• Carry out review and investigation of potential violations of Control Room and personal investment related policies and procedures and work closely with Trade Surveillance for escalated cases
• Manage the violation process including issuance of violation notice, escalation and maintain records on the violation for APAC Control Room
• Support the development, rollout and administration of the Control Room and personal account of related policies and procedures
• Support the design and involve in the implementation, coordination, delivery and ongoing support for the APAC Control Room training
• Provide support on MI and its reporting by preparing and maintaining control room activities related to MI on regular and ad hoc basis, conducting review and analysis on the MI if requested by senior management or relevant parties.
• Provide support and work closely with other compliance teams and relevant functions on regulatory, internal audit, testing and validation engagement.
• Provide coverage on certain personal investment work in APAC including review and pre-clearance of personal trade request; and
• Involve in global projects and system enhancement and provide support on other ad hoc tasks assigned by the line manager.

Job Expectations:

• Shift Timing: 1.30 PM - 10.30 PM

Wells Fargo Recruitment and Hiring Requirements:

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