Easter Seals Jobs

About this role:

Are you ready to embark on a career journey with a rapidly growing bank? Join our CIB Front Line Communication Surveillance Team as we are seeking an Electronic Communication Surveillance Specialist - Lead Business Accountability Specialist

In this role, you will be responsible for the Level 2 monitoring and analysing electronic communications to detect any potential compliance risks or violations of international policies and regulations. This role plays a critical part in ensure the integrity of the firm’s communications and adherence to regulatory requirements across the EMEA region.

Reporting directly to the Head of CIB Communication Surveillance, you’ll collaborate closely with key business stakeholders within Front Line, Compliance, Legal and Technology. Our work environment is characterised by dynamism and inclusivity, making it the perfect place for driven professionals looking to advance their careers. Join us in ensuring the integrity and compliance of our banking operations while experiencing a career journey like no other.

In this role, you will:

• Perform Level 2 - daily reviews of electronic communications to identify potential breaches of regulatory requirements or internal policies

• Escalate suspicious or non-compliant communications to key stakeholders for further investigation and disposition

• Development of the Voice Communications Surveillance program

• Analyse flagged communications using surveillance tools to identify trends and patterns indicating potential market misconduct

• Prepare and present findings, reports, and recommendations to management to enhance the surveillance models and lexicons terms and phrases

• Identify opportunities to improve and enhance surveillance processes, tools and systems to detect inefficiency and reduce false positives

• Contribute to ongoing develop of surveillance technologies and methodologies

• Strategically collaborate and consult with peers, colleagues, and mid to senior-level managers to identify current and emerging risks associated with business activities and operations, and provide guidance in interpreting, developing, and implementing risk-mitigating strategies

• Act as liaison for the business with external parties to support timeliness, appropriate response strategy, and effectiveness of communications and materials

• Opportunity to lead projects, teams and serve as a peer mentor

Required Qualifications:

• Experience in risk management, business controls, quality assurance, business operations, compliance, or process, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Familiarity with electronic communication surveillance tools and applications

• Knowledge of regulatory requirements in the EMEA region concerning electronic communication surveillance.

• Experience in monitoring regulatory frameworks such as MiFID II, MAR and FCA

• Experience in business support, product management, and/or oversight controls related to technology surveillance organizations

• Risk and compliance experience within Financial Services preferably Corporate and Investment Banking (CIB) or Commercial Banking (CB)

• Experience working within CIB and knowledge of lines of business, products, operations, and regulatory environment

• Experience building partnerships within a matrixed environment and consulting effectively with leadership

• Experience identifying inefficiencies, finding opportunities to streamline business processes, and implementing change

• Ability to identify risk factors and ensure design and implementation of appropriate controls

• Excellent verbal, written, and interpersonal communication skills

• Strong analytical skills with high attention to detail and accuracy

• Strong analytical skills with the ability to process large volumes of data quickly and accurately.

• Strong problem solving and decision making skills

• Strong organization, multi-tasking and prioritisation skills

• Intermediate to advanced MS Office skills in Excel, PowerPoint, Word and Outlook

Posting End Date:

29 Oct 2024

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

Req Number: R-404922