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Senior Compliance Specialist - ECO

  • Governance & Controls
  • Full time
  • R-382002

About this role:

Wells Fargo is seeking a Compliance Specialist to join the Personal Account Dealing Team (“PAD”) responsible for Personal Account Dealing (“PAD”) coverage, account review and collection of data to enable employee trade surveillance. The PAD Team is made up of four underlying core functions. Onboarding and Coverage, Accounts Review, Trading Data and Compliance Advisory.

About the Enterprise Compliance Operations Team:

Enterprise Compliance Operations (“ECO”) is a team comprised of eight underlying teams which are highly operational in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Control Group, Personal Account Dealing Team, Equity Aggregation Team, Registration and Licensing teams, Lobbyist Management, Ethics Pre-clearance, and Global Preclearance Teams. These compliance operations teams cover all the firms’ lines of business and corporate functions globally as they relate to the underlying team responsibilities.

In this role, you will:

  • Report to the Manager on the Personal Account Dealing Team and will work in close collaboration across various functions in PAD and ECO to help ensure that all assigned work is completed in a timely and accurate fashion
  • Serve as a SME across all areas of the ECO Processes / Global Delivery Activi being delivered out of India
  • Deliver process training material of courses with one or more components (e.g., new-hire, refresher process and product or systems) to an audience through directive teaching methods to help individual contributors and managers develop crucial job skills
  • Fully understand the Quality control & Quality Assurance under the remit and ensure there is adequate training and knowledge building within the team to support the business.
  • Develop requisite reporting & business metrics to monitor and drive the right outcome for the business operations.
  • Drive continuous process improvements, identifying opportunities for increasing productivity, efficiency, accuracy and improving controls
  • Support peers and assist with initiatives and implementation.

Required Qualifications:

  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

  • Experience developing partnerships and collaborating with other business and functional areas

  • Ability to work independently and see projects through from start to finish

    Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

    Excellent analytical skills with high attention to detail and accuracy


Posting End Date: 

*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, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

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