Compliance Specialist - Insider Trading - Trade Surveillance

Responsibilities

• Establish, implement, and maintain risk standards and programs to ensure compliance with federal, state, and regulatory requirements.
• Oversee the Front Line's execution and provide appropriate challenges on compliance-related decisions.
• Support the monitoring of risk-based compliance programs and provide insight into compliance risks for specific business lines.
• Assist in the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters.
• Provide direction to the business on developing corrective action plans and managing regulatory changes.
• Identify and recommend opportunities for process improvement and risk control development.
• Research and implement new regulatory rules and manage related projects.
• Troubleshoot system issues to determine root causes and ensure data accuracy.

Requirements

• 2+ years of Compliance experience, or equivalent demonstrated through work experience, training, or education.

Preferred Qualifications

• Strong securities knowledge, including equities, options, and bonds.
• Proven skills in effective risk identification and control enhancement.
• Ability to move beyond reliance on existing surveillance review processes to proactively manage risk.

About the Company

Wells Fargo & Company (NYSE: WFC) is a leading financial services company with approximately $2.1 trillion in assets. We provide a diversified set of banking, investment, and mortgage products and services through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management.