Senior Compliance Specialist

1 week ago

London, United Kingdom eFinancial Careers Full time

**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 designand 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 dispositionof 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 informationalmatter 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 onwardimplementation 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 Enterpriseand 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.
- 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**
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 accountablefor 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 complianceobligations, 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 thebusiness unit's risk appetite and all risk and compliance program requirements.

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