11 days old
2018-01-112018-02-19

Conduct Policy & Framework Implementation Manager (Fixed Contract)

London, England W1A 2LQ
  • Job Code
    23114BR-1
About Us

Wells Fargo provides middle market, large corporate and financial institution customers with a range of international solutions, including treasury management, credit, payments, financing, foreign exchange, and trade services. Wells Fargo operates from 42 countries and territories outside of the U.S., including branches in Beijing, Cayman Islands, Dubai International Financial Centre (DIFC), Hong Kong, London, and Seoul.
About the role

Responsible for supporting the Advisory Compliance officers in the drive to buildout the EMEA platforms Conduct Policy & Framework with a focus on the development andimplementation of the regulatory compliance risk framework.

The incumbent will provide critical strategic support to the activities of the team, with a focus on the implementation of a Conduct Risk program.

Conduct risk is defined as the risk of undue detriment to clients or to the integrity of markets due to poor behavior or business practices.

The role is to develop a Conduct Risk Regulatory framework and in conjunction with all stakeholders oversee the subsequent implementation, ensuring that Wells Fargo EMEA has adequate processes and procedures for identification, monitoring, measuring, reporting and mitigation of Regulatory Conduct risk

(Note: In addition to these functions employees are required to carry out such duties as may reasonably be required)


About theTeam:

EMEA Regulatory Compliance Risk Management at Wells Fargo consists of Advisory and Central Compliance Teams which provide Compliance support to multiple wholesale lines of business in the UK, and across the wider Europe, Middle East and Africa (EMEA) Region. The Central Compliance Team provides shared services (including Regulatory development, policy support, compliance testing, regulatory projects and the Control Room) throughout the region across all Lines of Business, legal entities, branches and rep offices.

Responsibilities:

The role is to develop a Conduct Risk Regulatory framework and in conjunction with all stakeholders oversee the subsequent implementation, ensuring that Wells Fargo EMEA has adequate processes and procedures for identification, monitoring, measuring, reporting and mitigation of Regulatory Conduct risk.

  1. The framework should set out the program outcomes and deliverables. The framework should assess the existing work to date structured around five key themes from a Regulatory Risk perspective:
  • Strategy
  • Product development
  • Client Lifecycle
  • Market Conduct
  • Human Resources Performance Management, Remuneration, Incentives, Employee Lifecycle

Additionally in conjunction with Wholesale and Enterprise Compliance and other key stakeholders to develop:-

  • The communication plan of Conduct related regulatory requirements
  • The regulatory governance framework for Conduct in EMEA
  • The process for the identification, capture and required reporting of Conduct breaches
  • The processes for the capture, monitoring and measurement of Conduct

2. Execute and provide management of Wells Fargos EMEA Conduct Policy and Framework implementation.

  • Managing disparate work streams, ensuring work-steam leads deliver to plan
  • Implementing and managing the required regulatory project governance
  • Ensure the implementation of a Conduct Framework including policies and procedures have been produced and documented.
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Categories

  • Retail / Wholesale

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Conduct Policy & Framework Implementation Manager (Fixed Contract)

Wells Fargo
London, England W1A 2LQ

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Conduct Policy & Framework Implementation Manager (Fixed Contract)

Wells Fargo
London, England
GB

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