Compliance Specialist

• 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 some 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 direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide support in reporting findings and drafting recommendations to management
• Support and implement initiatives with low to moderate risk
• Interact with team to support risk oversight and monitoring
• Manage and ensure accuracy of data
• Troubleshoot system issues to determine root cause
• Research and implement new regulatory rules and manage other Registration Team related projects
• Identify and recommend opportunities for process improvement and risk control development
• Establish and maintain effective relationships with various teams
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Interact with internal customers
• 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:

• 3+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 6+ years relative experience in systems/application testing, UAT, Test Automation or System integration testing/application quality assurance experience, Agile methodology
• 4+ years of relative experience in Automation using selenium with Python or Java.
• Good experience in database testing using SQL.
• Strong knowledge on JIRA dashboard, metrics & administration.
• 3+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field
• Ability to work on multiple agile projects simultaneously.
• Good working Knowledge on QA automation using Python-selenium to automate test scripts.
• Good knowledge on testing & UAT process along with waterfall & agile methodology
• Knowledge on Control surveillance, pre trading clearance, attestation related Applications is Good to have.
• Knowledge on RSA archer/SHRP Applications is good to have.
• Good knowledge on Excel VB macros/vb scripting is recommended.
• 4+ years of financial services industry experience
• Excellent verbal, written, and interpersonal communication skills
• Excellent knowledge on STLC Lifecyle, process & Agile methodologies
• Strong analytical skills with high attention to detail and accuracy
• Experience operating effectively in a geographically dispersed organization
• Ability to work across multiple lines of business leading large scale initiatives.
• Ability to work on multiple agile projects simultaneously.
• Advanced knowledge and understanding of test plans, test cases, test procedures, test scripts, and expected results, defect metrics

Job Expectations:

• The Compliance UAT Services Specialist is responsible for, but not limited to:
• Understanding the business units and providing compliance risk expertise and consulting for technology/process changes for business activities, projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities.
• Understanding end to end processes utilized by the business teams to evaluate risk, test controls, and prepare for examinations conducted by external parties.
• Developing the UAT plans for Wells Fargo compliance technology implementations. Specifically, he/she will work with the compliance teams to understand the business requirements and ensure that the planned technology satisfies those requirements.
• Creating, preparing and delivering UAT test plans, test strategies, and test signoffs, while adhering to corporate test standards.
• Partnering with business testing teams to ensure user acceptance and regression test scripts accurately reflect business processes. The Compliance UAT Senior Specialist will perform complex test data conditioning, regression testing and testing validation, applying medium to advanced testing methodologies.
• Developing and executing UAT activities for major compliance technology tool releases, as well as smaller production defect releases.
• Tracking application defects through triage, correction, and testing processes to ensure the Technology Team has the required information and support needed to correct the defect.
• Authoring complex test scenarios, test cases and test scripts. Supporting the update of training content, user guides, and frequently asked questions documentation.
• Conditioning data in test environments to coincide with test script requirements.
• Performing Test Automation using Selenium-Python using approved frameworks
• This role demands Hybrid functional testing capability with strong knowledge on Functional and Automation testing in addition to agile methodology.