Wells Fargo Senior Compliance Specialist - Enterprise Functions 

United Kingdom, England, City of London 

201103128

About this Role:

As well as the above, other responsibilities include monitoring compliance risk behaviours and providing Compliance advice to support the Wells Fargo Enterprise Functions by providing guidance on regulations and rules and interpretation on internal policies.

This role will be based in London and report directly into International Enterprise Functions Compliance.

In this role, you will:

• Assist the Enterprise Functions Compliance team to oversee the Front Line's execution of and challenge appropriately on compliance related decisions
• Collaborate with other internal teams including, Legal, Controls, Operations, COO teams
• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
• Identify and recommend opportunities for process improvement and risk control development
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Assist with regulatory inquiries
• Report findings and make recommendations to appropriate management committees
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Work with relevant Enterprise Functions, to advise on rules and regulations on moderate risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand the Compliance policies, procedures, and compliance requirements

Required Qualifications:

• Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• Strong educational background with a university degree.
• Experience in the compliance and regulatory field within financial services. and proficient knowledge of CIB at a leading global financial services firm(s).
• Good understanding of the market and regulatory environment in which Wells Fargo operates.
• Good intellectual capability and flexibility, able to consider issues from multiple angles and lead debates and discussions with multiple stakeholders.
• Good sense of judgement and absolute commitment to Wells Fargo transformation journey.
• Ability to forge relationships across multiple functions to enhance the Compliance brand.
• Ability to deal with change and exhibit a service led mindset to support our stakeholders.
• Ability to challenge independently and constructively.
• Communicate effectively and confidently, orally and in writing at all levels of the organization.
• A team player that actively looks to partner with and support team members with workloads and challenges.

Desired Qualifications:

• Strong educational background ideally with a university degree and academic track record.
• Professional qualifications, certificates, and/or registrations relevant to Compliance/financial services.
• Corporate and Investment Banking experience, either in Compliance, Legal, Risk or the Business.

Job Expectations:

• Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Compliance Strategy and Wells Fargo Policies, and Procedures.
• Embed a performance culture aligned to the Wells Fargo Values.

30 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.