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Senior Compliance Specialist - Regulatory Change (12 Month FTC)

Wells Fargo
Closing date
22 May 2022

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Contract Type
Full Time
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About the role:

EMEA Compliance provides independent compliance risk oversight for the lines of business and legal entities operating in the region and works proactively with the lines of business and other Independent Risk Management (IRM) and support functions to design and deliver effective compliance risk management strategies.

In this role, you will:

The EMEA Senior Compliance Specialist ('CS') plays a key role in the regulatory change lifecycle to Wells Fargo in region sitting within the Central Compliance Regulatory Change and Risk Framework team. The CS will assist with the identification and disposition of regulatory topical matters aligned to the EMEA Compliance Program which impact the legal entities and lines of business operating within the EMEA region. The disposition of these items will include determining whether regulatory change is an informational matter requiring socialization to relevant stakeholders, or a potentially actionable change matter, which could impact products, services, activities, people, process or technology and elements of the compliance program. Actionable items will require onward implementation by the business, for example through regulatory change projects or working groups etc. and the CS will assist with oversight of that implementation. The CS will also assist with communication of regulatory change matters in accordance with Enterprise and Regional requirement, for example through the regional Regulatory Development Forum, awareness materials and other communications.

The CS will be expected to assist with regulatory change related strategic projects and the maintenance of the Wells Fargo regulatory obligation inventory.

Required Qualifications:
  • Legal/Regulatory Development - Educated to degree level ideally with legal or strong Regulatory Advisory or Regulatory Consulting background gained at a top tier wholesale bank or major consultancy firm.
  • Regulatory knowledge - Knowledge of UK / EMEA regulatory environment, and how these requirements apply to wholesale banking and/or asset management Lines of Business as well as associated products/services.
  • Analytical skills - the candidate must have expert analytical skills with experience in researching, collecting, analysing, and synthesising information on various subjects.
  • Communication - excellent interpersonal, communication (written and presentation) skills and organisational abilities are essential, with an ability to liaise professionally and with diplomacy across all levels of staff in clear and succinct manner.
  • 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.
  • A team player that actively looks to partner with and support team members with workloads and challenges.
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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