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Lead Compliance Officer - Surveillance Strategy & Governance

About this role:

The EMEA Compliance Surveillance team (“Surveillance”) monitors and analyses the sales, trading and banking activities conducted by the Corporate Investment Bank as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications. Surveillance is in the process to expand its coverage significantly across all lines of business by implementing strategic and tactical surveillance capabilities and expanding coverage through the existing controls.

This role will be responsible for leading EMEA Surveillance co-ordination associated with governance and strategy aspects to ensure successful trade, voice and e-surveillance programme delivery, as well as assist with communications surveillance (electronic communications and voice) reviews.

Close interaction with the Surveillance Remediation recourse will be central in coordinating progress reporting to global Senior Management and production of high-quality MI reporting.

The position reports into the Head of EMEA Surveillance and will work closely with Compliance Advisory, Front Office COO and Control Office, Audit, and global surveillance teams.

In this role, you will:

  • Responsible for enhancement development and implementation of the EMEA surveillance management information framework.
  • Maintain appropriate management information / reporting for Regional Compliance and Business Management.
  • Enhance surveillance governance frameworks and development of appropriate reporting;
  • Participate in and provide compliance support for regulatory projects and initiatives, report and escalate violations of regulatory obligations.
  • Recommend and assist in the implementation of system and procedural changes that would enhance the effectiveness and efficiency of the Surveillance programme.
  • Identify opportunities to enhance existing surveillance processes and recommend areas for improvement.
  • Provide compliance support for regulatory projects and initiatives, report and escalate violations of regulatory obligations.
  • Assist regional trade and communication surveillance leads in carrying out the surveillance reviews with the aim of identifying any attempt by client's or members of staff of the firm, to commit financial crime, market abuse, market manipulation, or other breach of rules or regulations.
  • Liaise with internal stakeholders on escalated cases to improve accuracy and quality of service.
  • Work to expand the scope and improve the effectiveness of the current surveillance program.
  • Keep up to date with the latest developments in Global financial markets, including Capital Market activity and secondary market trading strategies.
  • Anticipate changes to the firm's business activities in response to market events and highlight trends to mitigate any potential future regulatory risks.
  • Pro-actively identify and manage Regulatory Compliance risk.
  • The role will also involve occasional ad-hoc duties that are not listed above but are necessary to respond to the needs of surveillance delivery.


Required Qualifications

  • Educated to degree level.
  • Strong interpersonal and verbal communication skills with written presentation and report writing skills.
  • PMO skills and previous experience preferable.
  • Strong organisational skills.
  • Financial and business acumen.
  • An ability to successfully manage change.
  • Strong understanding of FCA, PRA and European regulatory requirements and how these apply to sales & trading lines of business.
  • Preferably hold industry qualification &/or post graduate qualification.
  • Analytical skills – the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
  • Problem solving skills – the candidate must demonstrate the ability to identify key issues and obtain appropriate information for further analysis.
  • Communication - excellent interpersonal, communication (written and oral) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff. 
  • Highly IT literate - including Microsoft Office, Excel, Access, Word, PowerPoint, and other reporting tools but also able to understand use of technology for improving the regulatory control environment

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, or status as a protected veteran.

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.


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