About this role:
Equity Aggregation Compliance is seeking a senior compliance specialist with experience in implementing and maintaining a comprehensive compliance program. The Equity Aggregation Compliance specialist will support Equity Aggregation Compliance by
(1) evaluating the adequacy and effectiveness of procedures and processes
(2) reviewing internal controls and developing necessary corrective action plans,
(3) designing and coordinating the development of training materials and coordinating the delivery of the training,
(4) maintaining a robust monitoring and reporting program for Americas and International disclosure regulations;
(5) developing and maintaining relationships with LOB Compliance, LOB Legal and Control Room;
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(6) reviewing, validating and reconciling equity positions across the Enterprise;
(7) managing and tracking regulatory changes;
(8) coaching, training, and mentoring teammates; and
(9) supporting the Securities and Monitoring Product.
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)
- Large Shareholder Reporting (EMEA, APAC, Canada, LATAM)
- Takeover Panel Reporting
- Short Selling Reporting
- Sensitive Industry monitoring, including Bank Holding Company Act, Insurance, etc.
- Issuer initiative listed, including US poison pill
- Section 17 of the 1940 Act
- 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Intermediate Microsoft Office Skills
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical skills with high attention to detail and accuracy
- Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of the organization
- Ability to take initiative and work independently with minimal supervision in a structured environment
- Ability to review policies and regulations and evaluate them against current processes
- Ability to produce high level summary analysis reports in a meaningful and understandable format
31 Jan 2025
*Job posting may come down early due to volume of applicants.
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, gender identity, 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 accountable for 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 compliance obligations, 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 the business unit's 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, status as a protected veteran, or any other legally protected characteristic.
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 disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.