About this role:

Wells Fargo is seeking a Compliance Specialists to join the Insurance Licensing & Enterprise Registrations teams in India.

The Insurance Licensing team works alongside Wealth Investment Management to aid in the process of licensure where Financial Advisors, their support team and licensed bankers are involved. This includes processes to keep our system of record up to date with appropriate insurance licenses, continuing education, and Insurance Carrier appointments to allow Financial Advisors to do business with Wells Fargo customers in the form of Life Insurance or Annuity business.

Enterprise Registration team is responsible for administering Initial filing and transfer of registrations of employees for the Firm supporting all Wells Fargo Lines of Business. Team also provides support and guidance to various business partners relating to their respective registration needs. This team maintains related registration records in accordance with applicable FINRA and Securities and Exchange Commission requirements, and support Compliance in inspections of registered Office of supervisory jurisdiction manager, branches, and non-registered locations. The team's coverage is global.

• 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

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

• Knowledge and understanding of Insurance Licensing & Enterprise Registrations programs or Enterprise compliance Operations
• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Working knowledge of the Compliance Supervisory Control System (CSCS)
• Knowledge and understanding of Investment Banking
• Knowledge and understanding of Wealth Investment Management
• Advanced written, verbal, and interpersonal communication skills

• Willingness to work on-site at stated location on the job opening