About this role:
Wells Fargo is seeking a Lead compliance officer.
This position will be a key role to cover daily activities of Equity Aggregation Compliance (EAC) function which is responsible for monitoring and reporting Wells Fargo’s ownership of public equity to ensure compliance with Large Shareholder reporting, Takeover Panel reporting and Short Selling reporting obligations globally. In the Americas, EAC is responsible for monitoring and reporting Wells Fargo’s ownership of public equity under Section 13 and Section 16 of the Securities and Exchange Act of 1934, Section 17 of the 1940 Investment Company Act, as well as ownership of public equity that is in sensitive industries such as the Bank Holding Company Act and Hart-Scott-
In this role, you will:
The Equity Aggregation Compliance Officer 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)Canada and Latin America large shareholder disclosuresAmericas industry monitoring and reporting, including State-specific limits and reporting requirementsU.S. poison pill reviewsCertain 40 Act requirements, including Section 17
Required Qualifications:
Desired Qualifications:
5+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; of which 4+ years must include direct experience in compliance, operational risk management, or a combination of bothIntermediate Microsoft Office SkillsExcellent verbal, written, and interpersonal communication skillsStrong analytical skills with high attention to detail and accuracyAbility to work and influence successfully within a matrix environment and build effective business partnerships with all levels of the organizationAbility to take initiative and work independently with minimal supervision in a structured environmentAbility to review policies and regulations and evaluate them against current processesAbility to produce high level summary analysis reports in a meaningful and understandable formatAbility to develop, automate, and streamline monitoring reportsKnowledge and understanding of process flow or procedure writingOther Desired Qualifications
Demonstrated experience of implementing compliance programsKnowledge and understanding of public equity product typesKnowledge and understanding of Investment tools such as BloombergKnowledge and understanding of financial services industry: compliance or regulatoryMicrosoft Excel spreadsheets experience manipulating and analyzing dataPosting End Date:
30 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.