Legal Entity Governance & Reporting, Compliance Senior Manager

TN United Kingdom; London; On-site; GBP 80,000 - 120,000; Full time

Job summary

A leading global financial services firm is seeking a Compliance Senior Manager in London. The role involves leading governance and reporting efforts, managing compliance strategies, and collaborating with cross-functional teams to ensure adherence to regulatory requirements. The ideal candidate will have extensive experience in compliance, strong analytical skills, and proven leadership capabilities. This position offers an opportunity to influence compliance strategies and drive improvements across the organization.

Qualifications

• Experience in Compliance or equivalent required.
• Management or leadership experience necessary.
• Proven experience in regulatory field within financial services.

Responsibilities

• Lead Governance and Reporting within International Legal Entity Compliance.
• Oversee effective implementation of Compliance Programme elements.
• Drive process enhancements and operational activities.

Skills

Analytical

Problem Solving

Stakeholder Management

Leadership

Education

University Degree

Job description

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Legal Entity Governance & Reporting, Compliance Senior Manager, London

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Client:

WELLS FARGO BANK

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

e0cf40ff7e13

Job Views:

3

Posted:

14.05.2025

Expiry Date:

28.06.2025

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Job Description:

About this role:

Wells Fargo is seeking a dynamic and pragmatic Compliance Senior Manager (Executive Director) to join the International Legal Entity Compliance management team to lead Governance and Reporting within International Legal Entity Compliance.

To support the International Compliance Leadership Team ('ICLT'), and the department by overseeing the effective and efficient implementation of the key governance and reporting operational activities.

The role provides management, leadership, strategic direction and decision making for the Compliance Programme elements including, but not limited to, Governance and Reporting internal and external to Compliance, Risk Appetite, Issue Management, Audit, and IT&V engagement, coordinating Regulatory Relations engagement and submissions oversight and operational activities to enable International ICLT to execute against the Compliance agenda.

This role is based in London and will report to the International Head of Legal Entity Compliance.

In this role, you will:

• Develop, execute, embed and maintain the enterprise-wide Compliance Programme elements, as they impact International Legal Entity on behalf of the International Compliance Leadership Team ('ICLT').
• To act as an integral point person for ICLT and the wider department in all Governance and Reporting matters. Create an environment that allows operating in an effective, simplified, and commercially minded way to position our Compliance brand.
• Be the primary interface for ICLT for all governance, reporting and MI activities including but not limited to collaborating with the various Legal Entity, BACO, and LOB/Enterprise teams within and outside Compliance related to MI and Reporting, Risk and Control, Governance and Secretariat.
• Facilitate and support the internal IRM governance, reporting and MI for for ICLT risk management including setting the agenda, production and submission of materials, secretariat and action tracking.
• Ensure the department has effective and efficient technology solutions for the various Compliance processes in place to reduce duplication and manual efforts, whilst allowing International collaboration.
• Drive and support the department execute against its Compliance agenda and program of work in a strategic, effective, and efficient manner.
• Oversee the development and execution of process enhancements and operational activities to enable ICLT to execute against the Compliance agenda, e.g. how to improve monthly MI, and forward-looking reporting schedule, etc.
• Provide enhanced and proactive support to ICLT including tracking key deliverables, and actions, working closely with Corporate Secretariat teams to manage governance meeting schedules and follow up actions.
• Have a holistic view of top of mind matters relevant to International across BACO, Legal Entity, Conduct Risk, ECO, and Surveillance, etc to join-the-dots
• Influence the strategy, design and execution of the Compliance Risk Appetite and Risk Management Effectiveness ('RME') related MI, Reporting, KPIs and metrics, which includes but not limited to SORA, Scorecards and ERIA.
• Oversee and enhance Issue Management MI, Audit, and testing teams' engagement with Compliance and regulatory requests as they relate to the Compliance Programme elements, alongside any regulatory submissions owned by the team.
• Actively own, contribute and drive forward related Compliance owned RCSA RAUs, controls, monitoring, and Issues Management.
• Provide management and leadership across all teams operating out of EMEA, APAC, India and the Philippines that support Legal Entity Compliance Programme elements.
• Establish, implement, and maintain high risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements with a pragmatic risk management mindset.
• Provide compliance risk and regulatory expertise for Compliance Programme elements, with active check and challenge of the Front-Line and other relevant stakeholder groups.
• Collaborate, influence, and build relationships with all levels of cross-functional stakeholders including but not limited to, Front-Line, BACOs, other relevant LOB/Enterprise Compliance teams, Legal, Audit, and Risk to facilitate a comprehensive approach to Compliance risk management.
• Identify and recommend opportunities for process improvement and risk control development, with an enterprise, risk management, and valued service mindset, whilst benching with industry practices.
• Lead the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management, including timely escalation and reporting to ICLT, other senior leadership, committees, and appropriate business management.
• Make decisions and resolve issues to meet business objectives.
• Lead, build, and develop a high performing team to achieve business objectives and strategy, operate with a risk management, value-add and execution mindset, whilst guiding a culture of talent development, inclusivity, speak up, and innovation.
• Be an integral part of the International Legal Entity management team, supporting peers, and ICLT with other portfolio of work and cross-functional strategic projects.

Required Qualifications

• Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Management or leadership experience
• Proven experience in the compliance and regulatory field within financial services and extensive working knowledge of governance, controls, risk, and reporting processes at a leading global financial services firm(s).
• Strong understanding of the market and regulatory environment in which Wells Fargo operates.
• Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results.
• Seasoned Compliance professional with matured leadership capabilities, including but not limited to: ability to make critical decisions, work collaboratively, ability to develop others, enabling high performance, building self-insight and effective risk and control environment.
• Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task and maintain flexibility in fast paced, changing environment.
• Vision, direction setting and forward planning.
• Effective people and stakeholder management skills.
• Strong intellectual capability and flexibility, balanced by a practical and pragmatic approach and able to consider issues from multiple angles and lead debates and discussions with multiple stakeholders.
• Able to exercise independent thought, and influence/challenge senior stakeholders, including an ability to confront conflict and difficult issues in a professional, assertive, and proactive manger while remaining sensitive to business needs.
• Good sense of judgement and absolute commitment to Wells Fargo transformation journey
• Ability to lead projects with a focus on pace of execution and stakeholder collaboration.
• 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.
• Capable of distilling complex processes and conveying them in concise and simple ways.

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 Programme Strategy and Wells Fargo Policies, and Procedures.
• Embed a performance culture aligned to the Wells Fargo Values.

Posting End Date:
26 May 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 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.