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Senior Lead Compliance Officer - Conduct Risk/Whistleblowing

  • Governance & Controls
  • Full time
  • R-379749

About this role:

Wells Fargo is excited to welcome a dynamic Senior Lead Compliance Officer to our Independent Risk Management team. This pivotal role is all about establishing, implementing, and maintaining top-tier risk standards and programs to ensure our compliance with various legal and regulatory requirements. Join us and be a key part of our mission to uphold the highest standards of risk management and compliance.

As a Senior Lead Compliance Officer, you will be the go-to expert for local laws, regulations, and Conduct Risk principles in the region. You'll independently review and challenge the overall conduct risk landscape, leading the charge in issue identification and remediation. Your ability to engage and collaborate with both internal and external stakeholders will drive effective solutions and foster a culture of compliance.

In this role, you will design and implement innovative approaches to measure and uphold conduct standards, develop, and manage a comprehensive regional monitoring plan, and enhance our international Conduct frameworks with robust governance and monitoring. Additionally, you'll create and maintain a documented Compliance Program for the Second Line Conduct Risk Framework in the EMEA Region, ensuring we stay ahead in Enterprise Conduct Risk management.


In this role, you will:

  • Act as the EMEA subject matter expert for local laws, rules, regulatory expectations, and principles related to Conduct Risk as defined within the region.
  • Provide independent review and challenge regarding a holistic view of Conduct Risk within the region.
  • Be responsible for the leadership of issue identification and remediation including engagement with internal and external stakeholders.
  • Design and implement a collaborative approach and measurement of conduct standards within the region.
  • Develop and implement with stakeholders regional monitoring plan and metrics, specific to Conduct Risk.
  • Collaboratively lead the effort to enhance international Conduct frameworks including governance and monitoring.
  • Create, drive, and maintain a documented Compliance Program relating to the Second Line Conduct Risk Framework for the EMEA region.
  • Be responsible for Enterprise Conduct Risk / Risk Management Framework requirements (as applicable).
  • Manage EMEA Conduct Risk related regulations and best practice.
  • Manage Enterprise Compliance Program requirements for the Second Line.
  • Act as an advocate and leader for Conduct initiatives, including advice (in conjunction with other Compliance SMEs, as appropriate):
  • Manage ethics risk programs including those relating to conflicts of interest, gifts and entertainment, travel and expenses, political contributions / activities.
  • Manage front line supervisory frameworks.
  • Be responsible for Conduct and customer resolutions (including Complaints, Allegations, and Whistleblowing).
  • Manage new business initiatives (Conduct Risk implications relating to new initiatives / products).
  • Be responsible for first line Risk and Control Self Assessments (providing guidance on major Conduct Risk related requirements and how these are applicable to the first line of business operating within EMEA.)
  • Manage regulatory change projects – providing advice around Conduct Risk related impacts, etc.
  • Be responsible for the integration of Conduct Risk within existing Compliance structures including risk assessment processes, monitoring, and reporting.
  • Review and credibly challenge Front Line produced risk scorecards, business risk strategies and EMEA and legal entity statements of risk appetite.
  • Manage Second Line produced risk assessments (including enterprise, CIB, EMEA related compliance risk assessments), from a Conduct Risk perspective.
  • Support compliance’s oversight responsibilities in respect of the EMEA Whistleblowing framework, including management information and reporting to the International Head of Compliance and relevant Compliance leaders, senior management and legal entity boards and committees.
  • Act as point of contact for policies and procedures (drafting as necessary) which fall within the team’s remit (including Conduct and Whistleblowing policies and those relating to individual licencing frameworks such as SMCR).
  • Provide support to the EMEA Conduct Panel and relevant forums, as directed.


Required Qualifications:

  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Possess excellent knowledge of EMEA regulatory environment and how Conduct Risk is applied within the region.  Proven experience of oversight of Conduct Risk frameworks.
  • Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results.
  • Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
  • Management experience.
  • Experience in the Compliance and regulatory field within financial services and extensive knowledge of Conduct Risk/Whistleblowing processes 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: 

6 Aug 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.

Wells Fargo Recruitment and Hiring Requirements:

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.


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