Sr Compliance Specialist - Equity Aggregation Compliance
Job Description
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
(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
Required Qualifications:
- 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Desired Qualifications:
- 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 andunderstandable format
Posting End Date:
31 Jan 2025
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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.
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