FICC and Equities Compliance Specialist (AVP)
FICC and Equities Compliance Specialist (AVP)
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Job Description
About this Role:
Wells Fargo is seeking a Senior Compliance Specialist. The role will assist the current team of Advisory compliance officers covering a number of asset classes including Equities FX Rates Credit and SPG within the International Business. The Specialists key responsibilities will be to support the Business Aligned Compliance Officers (BACO) and their involvement in Compliance programs in place to assist in the adherence to in scope regulation and manage the associated regulatory risks. The Specialist will be tasked to assist with internal Compliance risk management strategies policies & procedure ownership as well as engaging with other central Compliance teams to partner and support Compliance programs. Within the role the Specialist will undertake operational tasks and processes relating to Risk Assessments Regulatory Change management Management Information creation and reporting BACO task tracking drafting coordinating and maintaining Monitoring activities as well as the timely execution of such activities.
As well as the above other responsibilities include monitoring compliance risk behaviours and providing Compliance advice to support the Wells Fargo businesses and 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 FICC and Equities Compliance.
In this role you will:
- Assist the BACO team to oversee the Front Lines 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 Markets business units 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 Global Markets 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.
Posting End Date:
29 Jun 2025*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability status as a protected veteran or any other legally protected characteristic.
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 on proactive monitoring governance risk identification and escalation as well as making sound risk decisions commensurate with the business units risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates including women persons with disabilities aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process visitDisability Inclusion at Wells Fargo.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Required Experience:
Exec
Employment Type
Full-Time
