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Head of Equities and E-Trading Compliance

  • Governance & Controls
  • Full time
  • R-374203

About this role:

Join Wells Fargo, a growing global bank with an award-winning culture, as the EMEA Head of Equities, e-Trading, and Financing & Solutions Compliance. This leadership role, reporting to the EMEA Head of Advisory Compliance, involves leading a team of two Business Aligned Compliance Officers (BACOs). Your team will be responsible for providing timely and accurate regulatory compliance advice and support to Equities, E-Trading andFinancing & Solutions Markets Business Lines operating in EMEA.

As a leader in this role, you will focus on deepening the skill base of your team and raising its profile within the organization. You will operate as a senior leader in the EMEA Compliance department and act as a subject matter expert on the relevant regulations and business activities of the Equities, E-Trading, and Financing & Solutions business lines. Your proactive approach will ensure that compliance advice is accurately provided to the business lines under your coverage. This role demands the ability to make critical decisions, work collaboratively, develop others, and enable high performance, all while building an effective risk and control environment. By joining Wells Fargo, you will be part of a globally recognized bank with an award-winning culture.

In this role, you will:

  • Manage 2 direct reports whilst deepening the skill base of the team to raise its profile.
  • Operate as a senior leader in the EMEA Compliance department.
  • Be a subject matter expert (SME) of the relevant regulations applicable to the business lines under your coverage.
  • Be a subject matter expert (SME) of the relevant services and activities of the relevant business lines and Markets products more generally.
  • Provide and oversee the proactive provision of accurate technical regulatory compliance advice to the business lines within your coverage.
  • Proactively challenge business lines to ensure compliance risk is identified and appropriately managed, including raising issues
  • Support the business in the identification and management of Compliance risks by providing pragmatic solutions.
  • Represent Compliance at relevant governance committees and other forums as necessary by providing challenge and technical regulatory compliance advice.  
  • Be involved in and oversee the team’s involvement in business led projects, including new business initiatives.  
  • Engage regularly with the legal department and other second line risk functions on current and emerging compliance risks and interact routinely with Internal Audit on regulatory compliance matters.
  • Engage effectively with Global and International Compliance teams, providing SME advisory input including: Regulatory change management, Risk Assessments (First and Second Line), Policy and Training, Monitoring & Reporting

Required Qualifications:

  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
  • Management experience
  • Strong educational background with a university degree
  • Experience in the compliance and regulatory field within financial services and extensive knowledge of Global Markets at a leading global financial services firm(s).
  • Strong understanding of the market and regulatory environment in which Wells Fargo operates.
  • Seasoned Compliance professional with matured leadership capabilities, including but not limited to: ability to make critical decisions, work collaboratively, ability to develop others, enabling high performance, building self-insight and effective risk and control environment.
  • Strong intellectual capability and flexibility, able to consider issues from multiple angles and lead debates and discussions with multiple stakeholders.
  • Able to exercise independent thought, and influence/challenge senior stakeholders, including an ability to confront conflict and difficult issues in a professional, assertive and proactive manger while remaining sensitive to business needs.
  • Good sense of judgement and absolute commitment to Wells Fargo transformation journey
  • Ability to lead projects with a focus on pace of execution and stakeholder collaboration.
  • Ability to forge relationships across multiple functions to enhance the Compliance brand.
  • Ability to deal with change and exhibit a service led mindset to support our stakeholders.
  • Ability to challenge independently and constructively.
  • Communicate effectively and confidently, orally and in writing at all levels of the organization.

Posting End Date: 

29 Jul 2024

*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.

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