EMEA Compliance Cross Border Consultant

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Wells Fargo
  • 26 Feb 19

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

Main function of the job:

The EMEA Compliance Cross Border Consultant is responsible for assisting with the regulatory compliance control framework relating to cross border travel. They will act as the control point in relation to International Travel Applications (ITA) into and intra the EMEA region. Specifically, this will involve their reviewing online ITA questionnaires from team members who have booked international travel (outside of home country excluding travel to the United States) on behalf of Wells Fargo to help ensure compliance with applicable country laws, regulations, licensing requirements and Wells Fargo policies related to international business activities. This will entail their reviewing and assessing travel questionnaires for potential cross border regulatory concerns, approving, rejecting or escalating the same in partnership with Compliance Advisory colleagues.

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


  1. Review of International Travel Applications intra and into the EMEA Region
  • Review, approval, rejection, escalation of ITA Questionnaires: Assess travel questionnaires for potential cross border regulatory concerns, approving, rejecting or escalating the same in partnership with Compliance Advisory colleagues.
  • ITA key contact for EMEA Compliance: Maintain up to date knowledge as to the ITA Approval Process and associated Policies, Procedures, acting as key contact point for regional queries as to the ITA process;
  • Maintain EMEA Compliance Desk Procedures: in partnership with EMEA Compliance Advisory colleagues, maintain up to date procedures which outline the key scenarios, approval, rejection, escalation processes in relation to travel into region. As directed, contribute to Team Works (Compliance Intranet) webpage and Guidance notes for Wells Fargo team members, which will provide guidance in relation to permissible activities, chaperoning requirements etc.;
  • Escalation Point: as appropriate re-direct team members to ITA Policy and regional Guidance notes in relation to Permissible Activity, and approve, reject, escalate as appropriate, travel requests into and intra region, in partnership with EMEA Compliance Advisory colleagues.
  • Create Management Information:  create relevant management reports, highlighting travel into and intra region by team member, Lines of Business etc., highlighting for example, approvals, rejection rationales and volumes and any potential breaches of Policy or requirements. 

Assist with Cross Border related projects as directed

  • As directed, assist with Cross border related projects, from a second line perspective. This may involve providing guidance in line with ITA Policy and EMEA Regulatory Compliance advice.

In addition to these functions, team members are required to carry out such other duties as may reasonably be required.

Market Skills and Certifications

Skills/Experience Required:

  • Regulatory knowledge – strong knowledge of UK/EMEA regulatory environment and how these requirements apply to wholesale banking lines of business. Understanding of licensing and permissions.
  • Education - Educated to degree level with legal or regulatory compliance background gained at a wholesale bank or major consultancy firm (i.e. banking / product knowledge is required). Asset management experience is desirable.
  • Business Knowledge: knowledge of wholesale banking business activities with asset management experience desirable.
  • Project Management – good project management skills, stakeholder management skills and ability to act swiftly and deliver results are essential.
  • Global Outlook - Proven ability to work in global teams across multiple regions including EMEA.
  • Communication – good interpersonal skills and organizational abilities are essential with an ability to liaise professionally and with diplomacy in clear and succinct manner. 
  • Analytical skills – the candidate must have sound analytical skills with experience in collecting, analysing, and synthesising information on various subjects.
  • Team working – demonstrable track record of working collaboratively across multiple business lines and with stakeholders and colleagues at all levels.
  • Drive – a self-starter who is proactive and with a demonstrated ability to drive through regulatory change. 
  • Flexibility / Initiative – ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.
  • Problem solving skills – demonstrated ability to identify key issues, and obtain appropriate information for further analysis. 
  • IT literate - including Microsoft Project, Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment

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.