Compliance Specialist (AVP) - Licensing & Registrations-3

About this role:
Wells Fargo is seeking a Compliance Specialist
In this role, you will:

• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Support the oversight or monitoring of a risk-based compliance program
• Provide support in developing and overseeing standards with some business and functional knowledge
• Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
• Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
• Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide support in reporting findings and drafting recommendations to management
• Support and implement initiatives with low to moderate risk
• Interact with team to support risk oversight and monitoring
• Manage and ensure accuracy of data
• Troubleshoot system issues to determine root cause
• Research and implement new regulatory rules and manage other Registration Team related projects
• Identify and recommend opportunities for process improvement and risk control development
• Establish and maintain effective relationships with various teams
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Interact with internal customers
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

• 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Experience in Insurance Licensing and/or Regulatory Filing & Registration (SEC/FINRA/NFA).
• 2+ years of experience in Risk Management, Compliance, or Business Controls.
• Compliance experience demonstrated through work experience, training, education, or military service.
• Strong understanding of regulatory and compliance frameworks.
• Knowledge of US & international regulatory filings such as DFSA, NDR, and AMF (added advantage).
• Proficiency in Microsoft Office Suite.
• Excellent verbal and written communication skills.
• Strong critical thinking and problem-solving abilities.
• High attention to detail and accuracy.
• Ability to prioritize work, meet deadlines, and perform effectively in a fast-paced environment.
• Ability to handle sensitive information with professionalism and confidentiality.

Job Expectations:
Registration & Insurance Licensing Support

• Support service requests, regulatory filings, reporting, and maintenance of registration records.
• Perform system maintenance activities including updating and verifying licenses, appointments, education, and profiles.
• Route work and collaborate with U.S. partners to ensure timely and accurate processing.
• Maintain firm, branch, and individual registration requirements.

Agency Licensing & Regulatory Filings

• Support agency licensing activities and regulatory filings.
• Research and implement new regulatory rules and requirements.
• Manage Registration team-related projects and initiatives.

Compliance Risk & Controls

• Provide compliance risk insights for low to moderate risk business activities.
• Support compliance initiatives, projects, and corrective action plans.
• Assist with reporting, escalation, and remediation of compliance issues or regulatory matters.
• Interpret policies, procedures, and regulatory requirements and guide the business accordingly.

Data, Systems & Process Improvement

• Ensure accuracy and integrity of compliance and registration data.
• Troubleshoot system issues and identify root causes.
• Identify opportunities for process improvements and risk control enhancements.

Collaboration & Stakeholder Management

• Establish and maintain effective working relationships with internal teams and stakeholders.
• Interact with internal customers to resolve issues and meet business objectives.
• Collaborate with peers, managers, and cross-functional teams to achieve shared goals.
• Exercise independent judgment while working under leadership guidance.

About the Role
Wells Fargo India & Philippines is seeking a Compliance Specialist to support Registration and Insurance Licensing operations. This role supports licensed individuals and business entities across the enterprise and ensures compliance with domestic, international, federal, state, and local regulatory requirements.
The role is part of Enterprise Compliance Operations, where the Registration and Insurance Licensing teams submit regulatory filings for regulated entities and individuals, ensuring they remain in good standing to conduct securities business and sell insurance and annuities in accordance with established processes and controls.
The Enterprise Compliance Operations Registration and Insurance Licensing teams submit regulatory filings for regulated entities and individuals as required/requested by the business and assisting individuals to ensure they are in good order to conduct securities business as well as sell insurance and annuities, while in compliance with U.S., International, federal, state and local regulatory requirements as well as in accordance with documented processes and controls.
Key Responsibilities
Registration & Insurance Licensing Support

• Support service requests, regulatory filings, reporting, and maintenance of registration records.
• Perform system maintenance activities including updating and verifying licenses, appointments, education, and profiles.
• Route work and collaborate with U.S. partners to ensure timely and accurate processing.
• Maintain firm, branch, and individual registration requirements.

Agency Licensing & Regulatory Filings

• Support agency licensing activities and regulatory filings.
• Research and implement new regulatory rules and requirements.
• Manage Registration team-related projects and initiatives.

Compliance Risk & Controls

• Provide compliance risk insights for low to moderate risk business activities.
• Support compliance initiatives, projects, and corrective action plans.
• Assist with reporting, escalation, and remediation of compliance issues or regulatory matters.
• Interpret policies, procedures, and regulatory requirements and guide the business accordingly.

Data, Systems & Process Improvement

• Ensure accuracy and integrity of compliance and registration data.
• Troubleshoot system issues and identify root causes.
• Identify opportunities for process improvements and risk control enhancements.

Collaboration & Stakeholder Management

• Establish and maintain effective working relationships with internal teams and stakeholders.
• Interact with internal customers to resolve issues and meet business objectives.
• Collaborate with peers, managers, and cross-functional teams to achieve shared goals.
• Exercise independent judgment while working under leadership guidance.

Required Qualifications

• Experience in Insurance Licensing and/or Regulatory Filing & Registration (SEC/FINRA/NFA).
• 6+ years of experience in Risk Management, Compliance, or Business Controls.
• Compliance experience demonstrated through work experience, training, education, or military service.
• Strong understanding of regulatory and compliance frameworks.

Desired Qualifications

• Knowledge of US & international regulatory filings such as DFSA, NDR, and AMF (added advantage).
• Proficiency in Microsoft Office Suite.
• Excellent verbal and written communication skills.
• Strong critical thinking and problem-solving abilities.
• High attention to detail and accuracy.
• Ability to prioritize work, meet deadlines, and perform effectively in a fast-paced environment.
• Ability to handle sensitive information with professionalism and confidentiality.

Job Expectations

• Willingness to work on-site at the designated job location.

Posting End Date:
22 Feb 2026
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. 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.
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 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 .
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Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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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.