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Compliance Specialist, Global Compliance Control Group

About this role:

Wells Fargo is seeking Compliance Specialists in the Global Compliance Control Group to help establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory and/or Corporate Policy requirements. The Compliance Specialist will join the Employee Trade Surveillance team which is part of the broader Enterprise Compliance Operations team (“ECO”) that reports into the Chief Compliance Officer of Wells Fargo Corporation.

The Compliance Specialist is responsible for monitoring the flow of material nonpublic information and preventing/detecting insider trading using an information barrier program, a key component of which is trade surveillance. The team is tasked with monitoring the trading activity of subject employees within the investment, commercial and retail banking lines of business, as well as Wealth and Investment Management, to identify any suspicious activity associated with trading potentially based on material non-public information for issuers on the firm’s Watch List, or for compliance with the firm’s Restricted List policies.  Additionally, a responsibility of this role is to assist in the execution of the team’s technology book of work associated with the trade surveillance platform.

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 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 support in reporting findings and drafting recommendations to management

  • Interact with team to support risk oversight and monitoring

  • Manage and ensure accuracy of data

  • Troubleshoot system issues to determine root cause

  • Identify and recommend opportunities for process improvement and risk control development

  • Establish and maintain effective relationships with various teams

  • Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals

  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Required Qualifications, US:

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

Desired Qualifications:

  • Prior Compliance Control Group or related experience

  • Experience with FIS Global Protenant PTA and/or Actimize, including the setup and maintenance of rules, certifications, broker, and personal trading feeds

  • Experience with monitoring personal securities trading policy for registered investment advisers (e.g., Investment Advisers Act of 1940 Section 204A)

  • Excellent verbal, written, and interpersonal communication skills

  • Strong analytical skills with high attention to detail and accuracy

  • Willingness to obtain securities licensing

  • Ability to interact with all levels of an organization

  • Adaptable to a collaborative work environment with multiple priorities and strict timelines

Job Expectations:

  • Willingness to work on-site at a stated posting location

Posting Location:

  • Charlotte, NC

  • St. Louis, MO

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees.

Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.


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