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Fitness Probity and Conduct Officer AVP
2 months ago
Wells Fargo is seeking an Individual Accountability and Conduct Officer who will be part of a team focused on managing the execution of front-line business controls and programs that address non-financial risk across the Wells Fargo International region. The role is to support the execution and the day-to-day management of the Fitness and Probity and Individual Accountability regimes across Wells Fargo International. Primarily focused on elements of Fitness & Probity and Senior Executive Accountability Regime (SEAR). Ensuring that Wells Fargo complies with its regulatory obligations and commitments under these regimes. In addition to fulfilling the requirements under these regimes, the role holder will also contribute to the delivery of key Conduct Risk Management activities.
In this role, you will:
- Support Wells Fargo's fitness and probity assessments, including managing PCF applications, fitness and probity register, annual reassessment and certification of all individuals in scope of the Fitness and Probity Regime. Including ensuring documentation is provided in a timely manner.
- Contribute to compliance with International Senior Manager and Accountability regimes.
- Work with Senior Managers to ensure that all relevant Accountability regimes procedural documentation and requirements are met and remain up to date.
- Support the oversight and quality assurance that regulatory requirements such as Statements of Responsibility, Management Responsibility Maps, and Reasonable steps frameworks are current and complete, in conjunction with relevant parties.
- Track the end-to-end processes for regulatory applications and notifications.
- Act as key point of contact within the COO team for enquires.
- Liaise and submit all relevant documents required to the regulatory body, including updating the F&P register when necessary.
- Ensure the relevant controls are executed to the required standards and support the risk assessments in the performance of these controls.
- Ensure that documents are stored in accordance with record retention requirements and in a secure drive.
- Produce management information for oversight in relation to International Accountability Regimes.
- Keep up to date with regulatory developments to ensure compliance with all relevant conduct and accountability regimes and applicable practices
- Support the Conduct programs with execution of reporting, framework enhancements and regulatory changes, including the management oversight required.
- Experience in Business Execution, Implementation, or Strategic Planning, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Degree level education or equivalent required
- An understanding of banking and practices with the financial services sector
- Strong understanding of Fitness and Probity, Individual Accountability and Conduct requirements
- Experience in Compliance in first or second line in regulated financial services
- Proven experience of engaging with first, second and third line oversight functions
- Highly organized with demonstrable project management skills
- Strong inter-personal and communication skills and experience in dealing with senior stakeholders and regulatory bodies
- Strong relationship building skills and ability to work within a local and International team
- Excellent written and verbal presentation skills, including Word, Outlook, Excel and Powerpoint proficient.
- Ability to learn quickly, understand and apply critical judgement on a wide range of issues
- Excellent analysis and planning capability
- Unquestionable ethics. High level of discretion on sensitive and confidential matters.
In addition to the responsibilities summarized in your job description, you are also required to comply at all times with CBI Conduct Standards:
Central Bank of Ireland Regulatory Requirements
This role is designated as a Controlled Function 2 (CF-2) role under Part 3 of the Central Bank Reform Act 2010 (sections 20 and 22) and as such is subject to certain regulatory requirements.
Individuals who perform a CF role must have a level of fitness and probity appropriate to the performance of that particular function and must comply with WFBI's Fitness and Probity policy. WFBI are required to carry out prescribed due diligence to assess your fitness and probity, and to satisfy itself on reasonable grounds that you comply with the standards of fitness and probity prescribed by the Central Bank of Ireland pursuant to any code issued under section 50 of the Central Bank Reform Act.
As a role carrying a CF-2 designation, the role holder will also be subject to the Common Conduct Standards under the Central Bank of Ireland's Individual Accountability Framework and will be required to take reasonable steps to ensure the Conduct Standards are met.
The role holder will be required to possess and maintain the appropriate technical knowledge required to perform the role and to understand the regulatory obligations to which they are subject as a CF-2, to include, without limitation, the Conduct Standards and the Fitness and Probity Standards.
- An individual who performs a CF-2 role ensures, controls or monitors compliance by WFBI with our relevant obligations.
8 Dec 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 .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our 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.
