Wells Fargo Electronic Communication Surveillance Specialist - EMEA 

United Kingdom, England, City of London 

723716778

About this role:

In this role, you will be responsible for the Level 2 monitoring and analysing electronic communications to detect any potential compliance risks or violations of international policies and regulations. This role plays a critical part in ensure the integrity of the firm’s communications and adherence to regulatory requirements across the EMEA region.

In this role, you will:

• Perform Level 2 - daily reviews of electronic communications to identify potential breaches of regulatory requirements or internal policies
• Escalate suspicious or non-compliant communications to key stakeholders for further investigation and disposition
• Development of the Voice Communications Surveillance program
• Analyse flagged communications using surveillance tools to identify trends and patterns indicating potential market misconduct
• Prepare and present findings, reports, and recommendations to management to enhance the surveillance models and lexicons terms and phrases
• Identify opportunities to improve and enhance surveillance processes, tools and systems to detect inefficiency and reduce false positives
• Contribute to ongoing develop of surveillance technologies and methodologies
• Strategically collaborate and consult with peers, colleagues, and mid to senior-level managers to identify current and emerging risks associated with business activities and operations, and provide guidance in interpreting, developing, and implementing risk-mitigating strategies
• Act as liaison for the business with external parties to support timeliness, appropriate response strategy, and effectiveness of communications and materials
• Opportunity to lead projects, teams and serve as a peer mentor

Required Qualifications:

• Experience in risk management, business controls, quality assurance, business operations, compliance, or process, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Familiarity with electronic communication surveillance tools and applications
• Knowledge of regulatory requirements in the EMEA region concerning electronic communication surveillance.
• Experience in monitoring regulatory frameworks such as MiFID II, MAR and FCA
• Experience in business support, product management, and/or oversight controls related to technology surveillance organizations
• Risk and compliance experience within Financial Services preferably Corporate and Investment Banking (CIB) or Commercial Banking (CB)
• Experience working within CIB and knowledge of lines of business, products, operations, and regulatory environment
• Experience building partnerships within a matrixed environment and consulting effectively with leadership
• Experience identifying inefficiencies, finding opportunities to streamline business processes, and implementing change
• Ability to identify risk factors and ensure design and implementation of appropriate controls
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Strong analytical skills with the ability to process large volumes of data quickly and accurately.
• Strong problem solving and decision making skills
• Strong organization, multi-tasking and prioritisation skills
• Intermediate to advanced MS Office skills in Excel, PowerPoint, Word and Outlook

27 Feb 2025

Wells Fargo Recruitment and Hiring Requirements:

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