Compliance Consultant 4 - Americas Equity Aggregation Compliance Consultant

  • Wells Fargo
  • $149,910.00 - 149,910.00 / Year *
  • 143 Chrystie St, New York, NY 10261
  • Full-Time



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Job Description

At Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. We re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Wells Fargo Compliance is the company s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Americas Equity Aggregation Compliance Lead is seeking a senior compliance consultant with experience in implementing and maintaining a comprehensive compliance program. The Equity Aggregation Compliance Consultant will support the Americas Equity Aggregation Compliance Lead by (1) maintaining a robust monitoring and reporting program for Americas equity aggregation regulations; (2) developing and maintaining relationships with LOB Compliance, LOB Legal and Control Room; (3) reviewing, validating and reconciling equity positions across the Enterprise; (4) managing and tracking regulatory changes; (5) developing trainings to educate LOBs on equity aggregation monitoring; (6) becoming a team lead on projects; (7) providing leadership by coaching, training, and mentoring teammates; and (8) supporting the Global Equity Aggregation Project.

The Equity Aggregation Compliance Consultant will be responsible for monitoring, reviewing and analyzing Wells Fargo and its subsidiaries ownership in public equities to ensure compliance with and reporting obligations in the following:

  • U.S. large shareholder disclosures (Form 13F, Schedule 13D/G, Section 16)
  • Canada and Latin America large shareholder disclosures
  • Americas industry monitoring and reporting, including State-specific limits and reporting requirements
  • U.S. poison pill reviews
  • Certain 40 Act requirements, including Section 17


Required Qualifications

  • 6+ 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; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both



Desired Qualifications

  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • Ability to develop, automate, and streamline: reports, analytical scorecards, and business reviews
  • Ability to produce high level summary analysis reports in a meaningful and understandable format
  • Ability to take initiative and work independently with minimal supervision in a structured environment
  • Knowledge and understanding of financial services industry: compliance, regulatory, or legal operations
  • Knowledge and understanding of Investment tools such as Bloomberg or Factset application
  • Knowledge and understanding of process flow or procedure writing
  • Ability to interact with all levels of an organization
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy



Other Desired Qualifications
  • JD, MBA or Series 7 preferred
  • Demonstrated experience of implementing compliance programs
  • Knowledge and understanding of public equity product types
  • Ability to review policies and regulations and evaluate them against current processes




Street Address

NY-New York: 150 E 42nd St - New York, NY



Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


Associated topics: analyse, analysis, analyst, bi, business analyst, examiner, financial analytic, financial reporting analyst, guidance, valuation analyst


* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.