Sr Compliance Specialist - Equity Aggregation Compliance

You will be joining Wells Fargo as a Senior Compliance Specialist, where your main responsibilities will include establishing, implementing, and maintaining risk standards and programs to ensure compliance with various legal and regulatory requirements. You will oversee the Front Line's compliance-related decisions, provide monitoring of risk-based compliance programs, and develop standards while providing subject matter expertise in business and functional areas. In this role, you will also offer compliance risk expertise and consulting for projects and initiatives with moderate risk levels for a business line or functional area. You will be responsible for monitoring reporting, escalation, and timely remediation of compliance-related issues, deficiencies, or regulatory matters. Additionally, you will provide direction to the business on developing corrective action plans and effectively managing regulatory changes. Your role will involve identifying and recommending opportunities for process improvement and risk control development. You will collaborate with peers, colleagues, and managers to resolve issues, interpret policies, procedures, and compliance requirements, and work with complex business units on moderate-risk compliance matters. You will receive direction from leaders but will also exercise independent judgment while developing an understanding of function, policies, procedures, and compliance requirements. To be considered for this position, you should have at least 4 years of Compliance experience or equivalent demonstrated through various means such as work experience, training, military experience, or education. Desired qualifications include familiarity with U.S. large shareholder disclosures, takeover panel reporting, short selling reporting, and other related areas. Proficiency in Microsoft Office, strong communication skills, analytical abilities, and the capacity to work independently and collaboratively are also important for this role. The Equity Aggregation Compliance team is seeking a senior compliance specialist to support the implementation and maintenance of a comprehensive compliance program. Responsibilities will include evaluating procedures and processes, reviewing internal controls, developing corrective action plans, coordinating training programs, monitoring disclosure regulations, managing equity positions, tracking regulatory changes, and supporting various compliance functions within the organization. Please note that the job posting ends on 27th Feb 2025, and there is an emphasis on diversity and inclusion at Wells Fargo. Applicants with disabilities can request accommodations during the recruitment process. Wells Fargo maintains a drug-free workplace and requires candidates to represent their own experiences during the hiring process. If you are looking to contribute to a culture that values strong customer relationships, risk mitigation, and compliance, this role at Wells Fargo may be a good fit for you.,