EMEA Regulatory Policy Control Consultant

Main Function of the Job
The EMEA Regulatory Policy Control Consultant (the Consultant) is a member of the Regulatory Knowledge and Awareness ('K&A') team within EMEA Central Compliance. The K&A team are responsible, inter alia for ensuring that our front line team members within the EMEA region have the appropriate suite of regulatory policy and targeted regulatory communications (which will include bespoke compliance training and awareness materials) to assist their management of front line regulatory compliance risk.

The Consultant is responsible for the project management and administration of regulatory compliance policy matters within EMEA. Their responsibilities will include maintaining a suite of corporate, wholesale, asset management and EMEA compliance policies, which will include tracking impending, new, due for revision documents and communicating within EMEA Compliance to determine policy gaps. They will then project manage the creation, revision or even retraction of policy documents and the adaption, adoption or rejection of policy documents being sent to the region. The Consultant will need to communicate the status of policies to EMEA Compliance Leadership as directed both verbally and in writing and assist with communications to team members as to regulatory compliance policies. They will also be asked to assist with other duties by EMEA Compliance Leadership as reasonably directed.


  • Co-ordinate the creation and revision of EMEA Regulatory Policies and Procedures
    • Coordinate / attend periodic meetings as directed with EMEA Compliance Advisory / Leadership to determine:
      • Policy creation requirements
      • Policy revision requirements
      • Policy consolidation opportunities
      • P&P related communication requirements for impacted team members and execute as directed
    • Coordinate the creation and revision of EMEA Compliance Policies and Procedures (i.e. ensuring that SME progress on delivery of Policies and Procedures is tracked, communicated, escalated as appropriate)
    • Review / edit SME drafted EMEA Policies and Procedures for consistency / compliance with corporate standards for Policies and Procedures (e.g. formatting etc.)

  • Maintain a suite of Corporate, Wholesale, WIM, EMEA Policies and Procedures
    • Assist with the publication of EMEA team member relevant Policies and Procedures to the EMEA Intranet / similar (e.g. Corporate Policies and Procedures Database) as directed
    • Check that Policies and Procedures are aligned to Legal Entities / Lines of Business in region

  • Track Corporate, Wholesale, WIM, EMEA Policies and Procedures updates
    • Track for WF P&P updates on an ongoing basis (Corporate, Wholesale, WIM etc.) and reconcile to existing suite of P&P identified as EMEA relevant
    • Identify potential impacts to EMEA P&P and escalate to EMEA Compliance Leadership
    • Track for EMEA P&P revision dates and escalate to EMEA Compliance Leadership

  • Assist with Communications relating to EMEA Policies and Procedures to impacted team members
    • Assist with creation of communications in relation to P&P as directed (e.g. reminders, alerts to team members via email, intranet, training materials etc.)
    • Partner with compliance colleagues as directed re P&P (e.g. updates to Training materials and the Compliance Risk and Control database ('SHRP'))

Market Skills and Certifications
Skills/Experience Required:

  • Proven project management skills and a track record of managing multiple tasks and delivering results within timelines
  • Proven effectiveness in communication and partnership across various stakeholders, including senior and executive management
  • Excellent organizational, prioritization and time-management skills. with deep and proven ability to multi-task
  • Strong generalist compliance / regulatory experience is essential, preferably within a central compliance shared service function.
  • Strong working knowledge of the UK / EMEA regulatory environment and how FCA, PRA and regulatory requirements apply to wholesale banking lines of business.
  • Business awareness - good understanding of wholesale banking activities and requirements.
  • A good awareness of project methodology and practical experience of implementation
  • Communication - excellent interpersonal, communication skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff.
  • Organization - impeccable organizational, prioritization and time-management skills.
  • Team working - proven track record of working collaboratively across multiple business lines and demonstrated ability to work effectively as part of a team or to take lead as needs dictate.
  • Flexibility / Initiative - ability to manage multiple requests for information in a professional manner in a fast paced deadline driven environment.
  • High skill level of core business applications - MS Word, PowerPoint, Excel, MS Project, Visio.

Team members 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.

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