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EMEA Risk & Finance Compliance Officer

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Job ID 45592BR

About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website.

Market Job Description

EMEA Compliance at Wells Fargo consists of Advisory and Central Compliance Teams who provide Compliance support to Enterprise Functions, Wholesale and Wealth & Investment Management in the UK, and across the wider Europe, Middle East and Africa (EMEA) Region. This role will be part of the Markets Advisory Team which provides compliance support for the Corporate and Investment Banking (CIB) division, along with Enterprise functions throughout the region.


This role within EMEA Compliance is to enable Finance & Risk Functions as defined meet their regulatory obl

  • Act as trusted advisor to the Finance & Risk Functions on all regulatory compliance issues in EMEA, focused on Conduct, Governance, Prudential, and Financial regulatory reporting requirements.

  • Develop advisory capabilities regarding both UK and European Prudential obligations.

  • Pro-actively manage conduct risks advising business partners and Senior Management on how to manage such risks.

  • Work closely with the Regional Heads of Corporate Treasury, Finance, Tax and Risk.

  • Work with US Compliance partners primarily in Enterprise Functions Compliance to enable the management of Regulatory Compliance risk associated with Finance & Risk Functions.

Compliance Programme

  • In conjunction with the EMEA Central Compliance team ensure there is a fit for purpose compliance programme designed to support the Finance & Risk Functions, which is aligned to the Wells Fargo Compliance Policy

  • Advise the EMEA Policy team on the drafting of policies and procedures and provide writing support where required.

  • Recommend and act as an advocate for developing improved monitoring concerning Finance Functions.

  • Advise the Regional Testing team on key risks and priorities for review.

  • Provide Compliance training where required to Team Members and act as an SME in respect of related Conduct issues within EMEA Regulatory Compliance.

Regulatory Development

  • Advise Finance & Risk functions on forthcoming regulation.

  • Work with the Regulatory Development team to enhance horizon scanning for Finance Functions.

  • Act as an advocate & leader to ensure regulatory change programme impacting Finance Functions are initiated.

  • Support the implementation of regulatory change programmes that impact Finance Functions.

Escalation and Management

  • Identify critical partners particularly pro-actively develop relationships across Wells Fargo to ensure positive outcomes for the control environment impacting Finance Functions in EMEA.

  • Identify and offer strategic solutions to improve Regulatory Compliance for Finance Functions.

  • Escalate issues Finance Functions to Senior Management in EMEA.

  • Work alongside Risk and Business partners to ensure there is a comprehensive framework for the oversight of Data Privacy, Human Resources and Global Customer Tax Information Reporting in EMEA and.

  • Prepare reporting for relevant Boards and Committees and present at those meetings where required.

Work with the Regional Head of Compliance in addressing any issues arising from the FCA and other regulatory examinations concerning Finance Functions.

Market Skills and Certifications

Communication - excellent interpersonal, communication (written and presentation) skills and organizational abilities are essential with an ability to liaise professionally and with diplomacy across all levels of staff in clear and succinct manner. Ability to build relationships and trust especially with senior Investment Banking staff.
Legal / Regulatory Development - Educated to degree level ideally with auditing / legal or strong Regulatory Advisory or Regulatory Consulting background gained at a top tier wholesale bank or major consultancy firm (i.e. banking / product knowledge is required).
Regulatory knowledge – Good knowledge of UK / EMEA regulatory environment including prudential rules and regulatory reporting obligations and how these requirements apply to Finance Functions. Working knowledge of US requirements such as regulatory reporting requirements.
Product knowledge –Strong knowledge of securities and derivatives.
Global Outlook - Proven ability to work in global teams across multiple regions including EMEA.
Team working and Leadership - proven track record of working collaboratively across multiple business lines and with stakeholders and colleagues at all levels but also of taking the lead as needs dictate. An ability to motivate team members for common progress is essential.
Drive – a self-starter who is proactive and with a demonstrated ability to drive through regulatory change.
Flexibility / Initiative – ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.
Problem Solving Skills – demonstrated ability to identify key issues, and obtain appropriate information for further analysis.
IT literate – including Microsoft Project Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.

Leadership Expectations at Wells Fargo

As a Team Member manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

We Value Diversity

At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law. We comply with all applicable laws in every jurisdiction in which we operate.

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