Wells Fargo Job - 30095390 | CareerArc
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Company: Wells Fargo
Location: London, England, United Kingdom
Career Level: Associate
Industries: Banking, Insurance, Financial Services


Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 37 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. 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. Learn more at our International Careers website.

Market Job Description


1. Voice and Electronic Communications Surveillance
Conduct Communications Surveillance and assist with the implementation and enhancement of the EMEA Control Group Compliance Communications Surveillance Framework. The role will include liaising with the Communications Surveillance Teams in the U.S. to obtain relevant Management Information and conducting reviews on topics including:

• Information Barriers – review Electronic Communications for breaches in information barrier procedures relating to: Insider Lists; Tree Transactions; communications with Research and Wall Crossings.
• Outside Business Activities (OBA) – detect undisclosed activities and monitor that approval conditions are being followed.
• Personal Account Dealing (PAD) – investigate potentially undisclosed broker accounts and PAD trading.

2. Trade Monitoring and Surveillance
Support when required the lead Surveillance Consultant within the EMEA Control Group in developing the Trade Surveillance Framework and performing ad hoc reviews.

• Institutional Watch List Trade Surveillance – review for the abuse of MNPI/integrity of information barriers.
• Institutional Restricted List Trade Surveillance – monitor for breaches in trade restrictions.
• Personal Account Dealing Trade Surveillance – review for the abuse of MNPI.
• Testing system enhancements – working with Technology teams to validate data integrity and confirm enhancements are correctly implemented.

3. Management Information
Support the EMEA Control Group in the design, production and distribution of management information to stakeholders across the business.

4. Cross-Coverage/Support of other areas within the EMEA Control Group
In addition to the above, the team member would be required to support and provide cover for the other members of the EMEA Control Group on an ad-hoc basis as may reasonably be required. This will include but will not be limited to:

• Assisting the EMEA Control Group with deal management (maintenance of the Watch and Restricted Lists, conflict-clearance activities and issuing of Insider Notifications);
• Assisting with the maintenance and enhancement of appropriate policies, procedures, systems and controls as well as with the development and delivery of EMEA Control Group related training;
• Assisting with Personal Account Dealing and Outside Activities requests;
• Assisting with EMEA Control Group projects; and
• Assist in the review of Marketing Materials for Private Side Lines of Business

Market Skills and Certifications

Skills/Experience Required:

  • Education / Experience - Educated to degree level;
  • Regulatory knowledge – Awareness of UK regulation and its impact on key Control Group concepts (i.e. Conflicts of Interest, Information Barriers etc.);
  • Enthusiastic – motivated individual looking to deepen their knowledge in relation to Compliance, specifically Control Group related activities;
  • Organization – highly-organized, detail oriented person who is comfortable working both independently and as part of a team;
  • Drive– a self-starter who is proactive with the ability to manage multiple tasks simultaneously with minimal supervision;
  • Communication – excellent interpersonal, communication (written and presentation) skills;
  • Teamwork – proven ability to work collaboratively across Lines of Business and within a team; and
  • Microsoft Office - including Word, Excel and PowerPoint.

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.



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