Compliance Manager - Asset Management Investments (FTC)
Wells Fargo
London, England, United Kingdom
6d ago

About Wells Fargo

Wells Fargo & Company (NYSE : WFC) is a leading global financial services company headquartered in San Francisco (United States).

Wells Fargo has offices in over 30 countries and territories. Our business outside of the U.S. mostly focuses on providing banking services for large corporate, government and financial institution clients.

We have worldwide expertise and services to help our customers improve earnings, manage risk, and develop opportunities in the global marketplace.

Our global reach offers many opportunities for you to develop a career with Wells Fargo. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience.

We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo.

It all begins with outstanding talent. It all begins with you.

Market Job Description

We are hiring for a fixed term contract with our EMEA Compliance Asset Management Team. The role is primarily responsible for the provision of Compliance services in support of the (Wells Fargo Asset Management) WFAM Portfolio management, trading and related middle and back office support functions based in EMEA, and the EMEA regulatory aspects impacting similar functions located in other geographic regions in conjunction with those regions local Compliance teams.

Responsibilities :

Manage the provision of primarily advisory compliance services by the investments focused compliance team in support of the EMEA WFAM investment and trading teams and related support functions, including back and middle office functions whether provided in-house or outsourced.

Recommend and act as an advocate for developing improved monitoring and surveillance concerning the UK asset management business particularly as they apply to investments, trading and related support activities.

Ensure that findings / issues identified are discussed with the business managers and that appropriate remedial action is taken, escalating as appropriate.

  • Identify and manage risks and ensure that controls are designed adequately and are evidenced as operating effectively to meet the standards of independent testing;
  • assist in responding to requests from Risk, Audit, Compliance Testing and other parties.

    Assist, as required, in design and implementation of the annual Compliance Monitoring Program.

    Ensure appropriate investments compliance assistance for the timely completion of RFPs and due diligence documents relating to investments, trading and related support services as required.

    Participate when required in projects to refine the investments compliance processes and the tools used for this purpose, with a keen focus on maintaining and improving efficiency and effectiveness.

    Provide and ensure the provision of appropriate training / awareness activities to investments, trading and related market facing support teams and others as required.

    Maintain and update internal risk systems (SHRP) in conjunction with the identified SHRP specialist.

    Oversee the management of internal and external audit and regulatory examinations relating to investments and trading and related elements of the business and their support functions, as required.

    Market Skills and Certifications

  • Leadership skills demonstrable skills and experience of leading all or part of a compliance team.
  • Experience of investments and trading elements of asset management products preferably including all of UCITS, AIFS, and segregated account capabilities.

    Knowledge of equity and fixed income instruments, including derivatives, and various investment strategies. Knowledge of Multi-asset investing would be preferred.

    Educated to degree level or equivalent.

    Strong understanding of FCA, and an understanding of European / US SEC regulatory requirements and how these apply to EMEA asset management line of business.

    Analytical skills the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.

    Teamwork skills the candidate must be flexible in his / her work style and be able to work collaboratively with stakeholders and colleagues at all levels

    Unquestionable ethics

    Communication - excellent interpersonal, communication (written and presentation) skills are essential with an ability to liaise professionally and with diplomacy across all supported functions.

    We Value Diversity

    At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law.

    We comply with all applicable laws in every jurisdiction in which we operate.

    Team members 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.

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