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About the Role

This role provides surveillance oversight coverage for International businesses (EMEA, APAC and Canada), ensuring effective oversight of first-line Trade and Communications Surveillance programs and ongoing regulatory engagement, reporting and escalation as part of CIB Compliance. The role operates under established Global Surveillance Oversight frameworks and governance, acting as a senior subject matter expert for international surveillance oversight matters.

Responsibilities

Provide oversight and governance of a business group or manage companywide compliance programs
Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
Work with complex business units, rules and regulations on moderate to high risk compliance matters
Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Develop, oversee, and provide expert business and regulatory compliance functional knowledge
Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines
Identify and recommend opportunities for process improvement and risk control development
Consult and engage business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management or directors and appropriate committees
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Requirements

Extensive experience in Compliance at leading international financial services firm(s)
Strong understanding of Trade and Communication Surveillance – best practices and technology solutions
Strong understanding of international regulatory requirements particularly Market Abuse, STOR process and Conduct obligations
Deep understanding of the evolving governance and regulatory environments, as well as industry and International compliance risk related best practices
Acts as a collaborative leader, fostering cooperation across teams to drive consistent surveillance standards and outcomes
Willingness to work across different time zones and be flexible and work under high pressure situations
Strong knowledge of Corporate & Investment Banking products and services
Extensive experience with communications and trade surveillance tools
Clear understanding of the market and regulatory environment in which Wells Fargo International operates, including relevant sectors, countries, products, and clients
Demonstrates clear understanding of importance of effective customer service (internal and external clients)
Demonstrates high standards of integrity and openness
Demonstrates ability to work effectively as a member of a team, a collaborative style and understands the value of diversity
Evidences the ability to exceed the expectations of others
Developing and incorporating an understanding of the competitive global business environment as well as an awareness of economic, social, and political trends that impact Wells Fargo's global strategy
Using appropriate interpersonal styles and communication methods to influence, collaborate and build effective relationships with senior business partners
The candidate must be highly analytical with experience in collecting, analysing, and synthesising information on various subjects
Demonstrate the ability to identify key issues and obtain appropriate information for further analysis
Excellent interpersonal, communication (written and oral) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff
IT literate - including Microsoft Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment
Continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organisational problems and opportunities and transforming a function

Skills

Trade and Communication Surveillance
International regulatory requirements
Market Abuse
STOR process
Conduct obligations
Corporate & Investment Banking products and services
Communications and trade surveillance tools
Analytical skills
Problem solving skills
Communication skills
Microsoft Excel
Microsoft Access
Microsoft Word
Microsoft PowerPoint

Location

International

Work Type

Full-time

Experience Level

Senior

About the Company

Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $2.1 trillion in assets.
We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management.
Wells Fargo ranked No. 33 on Fortune’s 2025 rankings of America’s largest corporations.
News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories.
Additional information may be found at: wellsfargo.com wellsfargojobs.com

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 unit’s 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, visit Disability 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. #DNP-IND