International Surveillance Oversight Lead in London

About this role: This role provides surveillance oversight coverage for International businesses (EMEA, APAC and Canada). The role is responsible for the day‑to‑day execution and continuity of International Surveillance Oversight activities, ensuring effective oversight of first‑line Trade and Communications Surveillance programs and ongoing regulatory engagement, reporting and escalation as part of CIB Compliance. This role provides coverage and execution. Strategic design, long‑term model decisions and SMF accountability remain with senior management. The role operates under established Global Surveillance Oversight frameworks and governance.

CIB Compliance operates as the second line of defence and is accountable for oversight and monitoring of associated risks for their groups. Within this framework, the Global Surveillance Oversight team is responsible for independent monitoring and oversight of the first-line CIB Trade Surveillance and Communications Surveillance programs. The role is accountable for ensuring that first-line surveillance programs are designed, implemented, and operated in a manner consistent with global firm standards and international regulatory expectations, including market abuse, conduct, and supervision requirements. The role is part of the Global Surveillance Oversight team and partners closely with regional Compliance, Financial Crime Compliance, Risk, Legal, Audit, and Front Office stakeholders, and serves as a senior subject matter expert for international surveillance oversight matters. The position reports into the Head of International Compliance and Operational Risk and the Global Head of Surveillance Oversight.

In this role, you will:

• 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
• Work with complex business units, rules and regulations on moderate to high risk compliance matters
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications:

• Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, education.
• 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.
• Client Focus - demonstrates clear understanding of importance of effective customer service (internal and external clients).
• Trust - demonstrates high standards of integrity and openness
• Teamwork - demonstrates ability to work effectively as a member of a team, a collaborative style and understands the value of diversity.
• "Outperformance" - evidences the ability to exceed the expectations of others
• Global Acumen - 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.
• Developing Strategic Relationships - using appropriate interpersonal styles and communication methods to influence, collaborate and build effective relationships with senior business partners.
• Strong analytical skills– the candidate must be highly analytical with experience in collecting, analysing, and synthesising information on various subjects.
• Problem solving skills – demonstrate the ability to identify key issues and obtain appropriate information for further analysis.
• Communication - 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.
• Change Leadership - continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organisational problems and opportunities and transforming a function.