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Compliance Specialist

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

About this role: Wells Fargo is seeking a Compliance Specialist... In this role, you will: Report to the Global Head of Personal Account Dealing for Enterprise Compliance Operations 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.

  • Work with Employees who need to provide us duplicate statements by reaching out and processing their responses.
  • Provide support to our statement indexing team (based in India) when they escalate items back to us that require further research or review from a Compliance Officer.
  • Review accounts disclosed by our employees to validate that they are in compliance with the Personal Investment Procedures.
  • A team environment, with a high volume of work, where multi-tasking with high attention to details is constant.
Required Qualifications, International:
  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
  • Basic knowledge of investing
  • Finance or Business Degree
  • MS Office (Outlook and Basic Excel)
  • Knowledge of Personal Account Dealing Programs
  • Comfortable supporting employees at all levels
  • Ability to multitask
  • High attention to detail
  • Typing skills
Job Expectations:
  • International SME across all areas of the Personal Account Dealing (PAD) team
  • Assist with trade approvals
  • Respond to emails in the teams group inbox
  • Facilitate Policy Violation meetings between employees and their managers
  • HR/ER Escalations
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, genderidentity, 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 accountablefor 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 complianceobligations, 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 thebusiness units 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, 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 disabilitiesis available upon request in connection with the recruitment process.

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