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INTL Governance & Control Specialist

4-8 years

Bangalore / Bengaluru

INTL Governance & Control Specialist

Wells Fargo

posted 7hr ago

Job Role Insights

Flexible timing

Job Description

About this role:
Wells Fargo is seeking a Senior Compliance Specialist


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
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Provide compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line
Identify and recommend opportunities for process improvement and risk control development
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management appropriate committees
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements


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


Desired Qualifications:
Bachelor's degree in corporate laws/ legal/ Regulatory Affairs/ACA/ACS or equivalent.
Relevant Risk and Regulatory certifications will be an advantage
Experience in Indian Regulations will be an advantage.
General knowledge of industry standards and best practices around regulatory compliance, control evaluations testing, internal audit and risk management processes.
Ability to execute large complex initiatives in a large corporate environment, while effectively partnering with others
Relevant experience in Financial Services industry and or risk & control domains covering operational risk, controls testing evaluation, compliance, internal audit, risk management etc.
Ability to credibly challenge, conduct tough conversations and effectively communicate with various levels of management, including senior leaders and executives.
Highly developed interpersonal skills, with an ability to communicate effectively with both the line of business and technical Team Members


Job Expectations:
Discuss Legal & Public Affairs related laws (vast & Complex) with I&P Senior Leadership and Key Stakeholders in the US.
Review frontlines compliance to in-country laws, rules and regulations
Provide oversight and governance of Legal & Public Affairs related compliance risk in India.
Partner with US Compliance teams to integrate compliance processes, procedures, and System of Record with the Global practices.
Establish, implement and maintain risk standards and programs to drive compliance with Corporate Policy requirements
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
Work with complex business units, rules and regulations on moderate to high-risk compliance matters
Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Develop, oversee, and provide expert business and regulatory compliance functional knowledge
Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines
Identify and recommend opportunities for process improvement and risk control development
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate to high-risk compliance matters
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics
Creative and strategic thinking skills, including the ability to analyze business issues and identify key risks/mitigating controls, combined with a pragmatic approach to problem solving.
Strong analytical skills with high attention to detail and accuracy.
Excellent verbal, written, interpersonal communication skills and stakeholder management.
Demonstrate positive attitude and readiness to work in a challenging and dynamic environment.
Flexibility to multitask and work across domains and business groups.


Employment Type: Full Time, Permanent

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Wells Fargo Interview Questions & Tips

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Q1. Detect the First Node of the Loop in a Singly Linked List You are provided with a singly linked list that may contain a cycle. Your task is ... read more
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What people at Wells Fargo are saying

3.0
 Rating based on 1 Control Specialist review

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Read 1 Control Specialist review

Control Specialist salary at Wells Fargo

reported by 10 employees with 6-12 years exp.
₹8 L/yr - ₹18 L/yr
8% more than the average Control Specialist Salary in India
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What Wells Fargo employees are saying about work life

based on 6.5k employees
58%
92%
76%
66%
Flexible timing
Monday to Friday
No travel
Day Shift
View more insights

Wells Fargo Benefits

Submitted by Company
Education benefits
Well-being
Paid time off
Submitted by Employees
Free Transport
Health Insurance
Cafeteria
Gymnasium
Work From Home
Team Outings +6 more
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Wells Fargo Bangalore / Bengaluru Office Location

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Bangalore / Bengaluru, Karnataka Office
Outer Ring Road, Bengaluru, Karnataka 560103, IN Bangalore / Bengaluru, Karnataka
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