Global Head of Surveillance

6 days ago

London, United Kingdom WELLS FARGO BANK Full time

**Job Posting Title: Compliance Director**

**Job Description Summary**:
Covers jobs responsible for establishing, implementing, and maintaining risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory and/or Corporate Policy requirements.

**About this role**:
Wells Fargo is seeking a Global Head of Surveillance who will focus on the Corporate and Investment Banking businesses, monitoring activity across various asset classes including equities, fixed income, foreign exchange and derivatives. This newly created leadership role will drive strategic change and best practice across the group, set global priorities and coordinate global development. They will work closely with other areas of the business on strategic initiatives and emerging issues, and in particular, work with the technology team on various projects as the group looks to streamline a number of processes.

**In this role, you will**:

- Manage and lead team with the implementation of the companywide compliance program with moderate to high-risk complexity
- Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Provide compliance risk and regulatory expertise for compliance program elements
- Identify and recommend opportunities for process improvement and risk control development
- Lead the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
- Report on the Compliance Program to more experienced compliance leaders, committees, and appropriate business management
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Collaborate and influence all levels of professionals including managers
- Build relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics
- Lead team to achieve objectives
- Manage allocation of people and financial resources for Compliance
- Develop and guide a culture of talent development to meet business objectives and strategy

**Desired Qualifications**:

- Experience building, enhancing, and sustaining regulatory programs in an independent risk management, business, or enterprise function
- Working knowledge of Risk Management Frameworks and procedures for monitoring activities executed by the independent risk management function, specifically Risk Type and Business Aligned Oversight teams
- Experience with establishing sophisticated surveillance systems, and their related governance needs, to detect violations in securities, derivatives, and futures regulations
- Knowledge of securities, derivatives, foreign exchange, commodities and futures markets and related regulations in the US and Europe.
- Ability to succinctly communicate, both verbally and in written form, to regulators as well as all levels of management to include Executive communications as well as technical reports with gravitas and persuasive ability
- Experience building and motivating teams who are geographically dispersed
- Strong trading and/or technology background in securities/futures markets
- Ability to drive multi-year projects to achieve significant advances in scalable, innovative surveillance solutions

**Job Expectations**:

- Key factors for success include facility for conducting independent research, ability to quickly understand newly presented processes and concepts, strong analytical skills in order to analyze data, preparing written analysis and presenting analysis and recommendations to management. The role requires coordination, collaboration, and cooperation with team members across CIB Compliance.
- Collaborate with others, initiate action, challenge others, make difficult decisions, generate creative solutions, achieve results, and accept challenging assignments
- Communicate effectively across all levels of the business, enterprise functions and Compliance
- Manage with a global mindset
- Achieve measured results

**Posting locations**:
Charlotte, NC

New York, NY

London, UK

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered for current Wells Fargo employees.

**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 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

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