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Head of Banking & CRE Compliance

  • Governance & Controls
  • Full time
  • R-374190

About this role:

Wells Fargo, an expanding global bank with an award-winning culture, is looking for an accomplished professional to take on the role of EMEA Head of Banking and Commercial Real Estate (CRE) Compliance. Reporting to the EMEA Head of Advisory Compliance, you will oversee a team of four Business Aligned Compliance Officers (BACOs). Your team will be responsible for delivering precise regulatory compliance advice and Compliance support to Banking and CRE business lines in EMEA, which include Fund Finance Group, Coverage Banking, Debt Capital Markets (including Origination and Syndication activities), M&A, Global Treasury Management, Capital & Underwriting, and Commercial Real Estate.

As the leader of this team, you will focus on deepening the team's skill base and raising its profile. You will act as a senior leader within the EMEA Compliance department and serve as a subject matter expert on the relevant regulations for the business lines under your coverage. Your proactive approach will involve challenging business lines to identify and manage compliance risks effectively. This role demands critical decision-making, collaborative work, and the ability to develop others, all while enabling high performance and building an effective risk and control environment. Joining Wells Fargo means becoming part of a global bank with a strong and award-winning culture.

In this role, you will:

  • Manage 4 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.
  • 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.
  • Support the business in the 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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