Vice President, Pad Compliance

About this role:
Wells Fargo is seeking a Compliance Manager to join & lead the Personal Account Dealing Team ("PAD") responsible for Personal Account Dealing coverage, account review, collection of data to enable employee trade surveillance and providing guidance to employees covered by PAD requirements at Wells Fargo India. The PAD Team is made up of three underlying core teams:

• Coverage, Attestations and Tracking
• Account Data Management
• Compliance Advisory

In this role, you will:

• Manage a team responsible on the Personal Account Dealing in India and will work in close collaboration across various functions in PAD and ECO
• Serve as a SME across all areas of the PAD Team
• Work on special projects and provide coverage as needed to other areas within the Personal Account Dealing team as needed
• Collaborate and consult with peers, colleagues and managers and business partners to make decisions, resolve issues and achieve business objectives.
• Perform self-assurance activities for the PAD Team as a delegate of all PAD managers.
• Identify and recommend opportunities for process improvement and risk control development.
• Assist with drafting new corrective action plans and assist with the completion of existing corrective actions.

• Review regulatory alerts and assist with determining impact to the PAD Team processes and controls
• Work with complex business units, rules and regulations on moderate to high risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Partner with the ECO Control and Risk Assessment team on PAD Team metrics and controls work
• Draft leadership updates on PAD Team work and projects
• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Assist with writing and updating policies and procedures
• Interface with Audit, Legal, and testing teams at Wells Fargo
• Assist with the development and updating of the annual PAD Training provided to employees
• Monitor and facilitate coverage for Operating Committee and Management Committee members
• A team environment, with a high volume of work, where multi-tasking with high attention to details and the ability to stay organized is important.

• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications

• Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Leadership experience

Desired Qualifications:

• Experience with PAD programs, including the review of existing PAD coverage and facilitating expansion of PAD coverage to business groups and/or employees previously not covered.
• Knowledge and understanding of Personal Account Dealing Program
• Experience dealing with all levels of employees, including executives and operating committee members.
• Experience developing partnerships and collaborating with other business and functional areas.
• 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
• Ability to work independently and see projects through from start to finish
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Excellent analytical skills with high attention to detail and accuracy

Job Expectations:

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

Posting End Date:
27 Mar 2024
*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.