Company Name:

Wells Fargo

Location:

Charlotte, North Carolina

Approximate Salary:

Not Specified

Posted

December 8, 2018

Compliance Manager 3 - Equity Aggregation Monitoring & Analytics Lead

Job Description

At Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. We re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wells Fargo Compliance is the company s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Equity Aggregation Compliance is responsible for overseeing compliance with global rules and regulations relating to Wells Fargo s enterprise ownership levels in securities, including large shareholder rules, takeover panel and takeover bid rules, compliance and ownership limits. To ensure compliance, Equity Aggregation Compliance monitors position levels, ensures hard limits are not breached, and files necessary disclosure reports with regulators. In addition, Equity Aggregation Compliance works with management to determine firm-wide exposure to issuers as required for reputational and business purposes.

Primary Duties and Responsibilities:
The Equity Aggregation Monitoring & Analytics Lead will support the Equity Aggregation Compliance Program by (1) assisting with the design, implementation and maintenance of a comprehensive compliance program, (2) establishing a robust monitoring program for disclosure requirements and proximity events; (3) working closely with Enterprise Information Technology partners on strategic, tactical and BAU technology issues and enhancements; (4) acting as the global lead in identifying impact of regulatory changes on equity aggregation monitoring processes and technology and in developing a plan of action to address such impacts; and (5) performing analysis of position and transaction data as required to ensure accurate and complete monitoring and reporting.
The Equity Aggregation Monitoring & Analytics Lead will build and then manage a team responsible for monitoring and process development related to the following areas:
Large shareholder disclosures as required by countries globally
Country-specific industry monitoring and reporting, including foreign-ownership limits
Mandatory takeover bid regime rules
Takeover Panel reporting, including transaction sourcing and reporting
Ad hoc position checks
Exception identification and tracking

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

Preferred locations:
Summit, NJ; Hicksville, NY; Charlotte, NC; St. Louis, MO; Minn., MN; SF, CA
This opportunity is open to any location within the WF footprint.

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.



Required Qualifications

  • 8+ 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; or 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience


Desired Qualifications

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to articulate complex concepts in a clear manner


Other Desired Qualifications

Expertise in working with Excel to solve for complex data review, including macros, pivot tables and V-lookups
Experience in working in or closely with a technical organization, including exposure to data analytics, SQL, SAS and/or Tableau
Understanding of public traded equities, either through education or job experience
Self-motivated and able to adapt to dynamic work environment with multiple priorities and strict timelines and with stakeholders in multiple time zones
Proven ability to cultivate relationships and collaborate with multiple stakeholders, including business leaders, legal, audit and multiple regulators
Effective communicator and relationship manager. Able to ask well-crafted questions and present ideas in a clear and compelling manner with executive presence, good listener who engenders creative thinking and teamwork
Advanced Degree (Masters, MBA, or JD) or securities license preferred





Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


Associated topics: analysis, analyst, business, business finance, financial analytic, government, investment analytics, investment fund, market, refinement

Company Name:

Wells Fargo

Location:

Charlotte, North Carolina

Approximate Salary:

Not Specified

Posted

December 8, 2018

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