Compliance Specialist - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

About this role:

Wells Fargo is seeking a Compliance Specialist...

In this role, you will:

Report to the Global Head of Personal Account Dealing for Enterprise Compliance Operations and will work in close collaboration across various functions in PAD and ECO to help ensure that all assigned work is completed in a timely and accurate fashion
:

Work with Employees who need to provide us duplicate statements by reaching out and processing their responses.
Provide support to our statement indexing team (based in India) when they escalate items back to us that require further research or review from a Compliance Officer.
Review accounts disclosed by our employees to validate that they are in compliance with the Personal Investment Procedures.
A team environment, with a high volume of work, where multitasking with high attention to details is constant.

Required Qualifications, International:

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

Desired Qualifications:

Basic knowledge of investing
Finance or Business Degree
MS Office (Outlook and Basic Excel)
Knowledge of Personal Account Dealing Programs
Comfortable supporting employees at all levels
Ability to multitask
High attention to detail
Typing skills

Job Expectations:

International SME across all areas of the Personal Account Dealing (PAD) team
Assist with trade approvals
Facilitate Policy Violation meetings between employees and their managers
HR/ER Escalations

We Value Diversity

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 accountablefor 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 complianceobligations, 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 thebusiness unit's risk appetite and all risk and compliance program requirements.