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Emea Head of Core Compliance

2 months ago

London, United Kingdom WELLS FARGO BANK Full time

**About this role**:
Wells Fargo is seeking a Compliance leader (Managing Director equivalent) to manage the EMEA Core Compliance function to ensure that business line and business partner functions are provided with accurate and timely advice in relation to regulatory compliance issues including the impact of regulatory changes.

**In this role, you will**:

- Manage the EMEA Compliance Teams responsible for 1) Compliance Risk Identification, Assessment and Disposition; 2) Regulatory Change Management, Policy Development and Maintenance and Compliance Training and 3) Compliance Reporting (the "EMEA Core Compliance Team") in support of the Markets and Banking Businesses and Enterprise Functions operating in region.
- Working with the Regulatory Relations team, help to manage Wells Fargo's relationship with relevant regulators, including contributing to the provision of timely and accurate information to the regulators.
- Manage staff within the EMEA Core Compliance Team. Minimize attrition and seek to deepen the skills base of the team and raise their profile.
- Represent Compliance and provide appropriate challenge at relevant internal/external meetings.
- Oversee the EMEA Core Compliance Team's involvement in business/second line of defense led projects, including the RCSA, ensuring timely and robust input and challenge by team members.
- Provide Compliance support to business and corporate projects, including those relating to regional governance.
- Contribute to the effective governance of the EMEA region. Play an active role in regional committees including EMEA Regulatory change Forums. Where the jobholder is chair of a committee ensure the committee is effective in all aspects of its role; facilitate and encourage informed and constructive debate on key issues and ensure that members receive relevant management information in an accurate, timely and clear form.
- Help to ensure that a strong governance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed, and mitigated.
- Promote a good understanding of the EMEA governance framework, including escalation requirements and ensure that there is clear, appropriate, and evidenced apportionment of responsibilities amongst staff members for whom the job holder has responsibility.
- Oversee the Front Line's implementation of regulatory change in conjunction with Legal and Compliance Advisory Teams.
- Identify and recommend opportunities for process improvement and risk control development.
- Engage regularly with the Legal Department on current and emerging compliance risks; changes in regulatory requirements or expectations and interact routinely with Internal Audit and regulators on compliance related topics.
- Collaborate proactively effectively with Global and Regional Compliance teams who will provide SME advisory input to regulatory change management; annual risk assessment; policy and training; reporting and annual compliance planning.
- Contribute to enterprise-wide risk and control related initiatives.
- Make decisions and resolve issues to help meet business objectives.
- Interpret policies, procedures, and compliance requirements.
- Lead team to achieve annual objectives.
- Develop and guide a culture of talent development to meet business objectives and strategy
- Alert management including the EMEA Chief Compliance Officer immediately of any significant changes to risks and internal control effectiveness.
- Notify management and the EMEA Chief Compliance Officer immediately upon discovery of any material regulatory breach.
- Assist EMEA Senior Management in the management of audits and regulatory examinations.

**Required Qualifications**:
**Technical skills**
- Postgraduate degree with further professional qualification (legal, accountancy etc.)
- Extensive experience in Compliance at leading international financial services firm(s)
- Strong people management experience
- Extensive experience designing and executing core compliance programs, including business line relevant regulatory change management, risk identification and assessment processes, compliance issue management, new product/business deal review, complaint handling, compliance monitoring and reporting, compliance policy development and training.
- Clear understanding of the market and regulatory environment in which Wells Fargo EMEA operates, including relevant sectors, countries, products, and clients.
- Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.

**Values**
- Client Focus - demonstrates clear understanding of importance of effective customer service (internal and external clients)
- Trust - demonstrates high standards of integrity and openness
- Teamwork - demonstrates ability to work effectively as a member of a team, a collaborative style and understands the value of diversity
- "Outperformance"