Job
Description
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 Support the oversight or monitoring of a risk-based compliance program Provide support in developing and overseeing standards with some business and functional knowledge Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters Support the 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 support in reporting findings and drafting recommendations to management Support and implement initiatives with low to moderate risk Interact with team to support risk oversight and monitoring Manage and ensure accuracy of data Troubleshoot system issues to determine root cause Research and implement new regulatory rules and manage other Registration Team related projects Identify and recommend opportunities for process improvement and risk control development Establish and maintain effective relationships with various teams 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 Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Candidates with Law degree LLB/ LLM/ Companies Secretary would be preferred. Fluency in any of the foreign languages such as Chinese, Japanese, French, Spanish, and German would be an added advantage. Expertise in technology data entry related to laws, rules and regulations Ability to follow directions for using the SHRP Governance Management system (Archer platform) Excellent verbal and written communication skills Ability to articulate complex concepts in a clear manner Advanced Microsoft Office skills Good eye for detail and accuracy Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities Working knowledge on SharePoint would be an added advantage Job Expectations: Strong educational background with a university degree Experience in the compliance and regulatory field within financial services and knowledge of Corporate and Investment Banking at a leading global financial services firm(s). Good understanding of the market and regulatory environment in which Wells Fargo operates is a comparative advantage. Seasoned Compliance professional with capabilities, including but not limited to: ability to make critical decisions, working collaboratively, ability to develop others, enabling high performance, building self-insight and effective risk and control environment. Good intellectual capability and flexibility, able to consider issues from multiple angles and lead debates and discussions with multiple stakeholders. Good sense of judgement and absolute commitment to Wells Fargo transformation journey Ability to forge relationships across multiple functions to enhance the Compliance brand. Ability to deal with change and exhibit a service led mindset to support our stakeholders. Ability to challenge independently and constructively. Communicate effectively and confidently, orally and in writing at all levels of the organization. A team player that actively looks to partner with and support team members with workloads and challenges
