Compliance Specialist- Personal Account Dealing Team (“PAD”)

About this role:

Wells Fargo is seeking a Compliance Specialist to join the Personal Account Dealing Team (“PAD”) responsible for Personal Account Dealing coverage, account review, collection of data to enable employee trade surveillance and providing guidance to employees covered by PAD requirements at Wells Fargo. The PAD Team is also responsible for additional enterprise compliance attestations. 

About Enterprise Compliance Operations and Conduct Risk:
Enterprise Compliance Operations (“ECO”) is responsible for the monitoring, oversight, and review and challenge of risks associated with information barriers, insider trading, large shareholding reporting, registration, insurance licensing, and employee conflicts. The functions include the following teams: Global Control Room, Personal Account Dealing, Equity Aggregation, Insurance Licensing, Political Law Pre-Clearance and Reporting, and Global Compliance Ethics Pre-clearance.  

Conduct Risk is responsible for implementing and maintaining the conduct risk program, inclusive of governance and risk management requirements to provide independent review and challenge to front line programs managing conduct risks. 

In this role, you will:

• Support an operational compliance team by creating and configuring quarterly attestations within the attestation tool

• Execute and ensure compliance of Associated Persons’ quarterly attestations across the enterprise

• Manage a shared mailbox to support multiple lines of business on attestation-related inquiries, technology troubleshooting, and guidance/key contacts on the compliance policies regarding electronic communications with internal customers.

• Track and circulate feedback, drive for process efficiencies, and help articulate process improvement requirements

• Engage with the Personal Account Dealing Team, Business Support Partners, Technology, Legal and Compliance to discuss key process updates and clarify questions for electronic communications attestations

• Monitor process KPIs, provide metrics and support timely execution of the deliverables as per the agreed quality standards and procedures

• Proactively address problems affecting various lines of business and escalate accordingly

• Assist process manager with quarterly attestation planning, configuring, tracking, and communications.

• Assist process manager in driving process efficiencies through project and platform development

• Assist in keeping the process procedures and documentation up to date

• Support additional attestation processes/projects within the Personal Account Dealing Team as needed

• 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:

• 2 years of overall experience in Banking and Financial Services, of which minimum 2 years of experience in risk management (includes compliance, regulatory change management, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management).

• Working knowledge of Electronic Communications compliance an advantage

• Advanced Microsoft Office/Excel skills

• Experience with Microsoft PowerApps/WorkSmart

• Good eye for detail and accuracy, ability to manage multiple projects independently and simultaneously

• Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities

• Excellent verbal and written communication skills

Job Expectations:

• Ability to travel up to 5% of the time

• This position offers a hybrid work schedule.

• Willingness to work onsite at stated location on the job posting.

• This position is not eligible for VISA sponsorship.

• 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 CFR 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.

Job posting Locations:

• Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC

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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

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