About this role:Wells Fargo is seeking a
Senior Lead Compliance Officer to join the
Corporate & Investment Banking (CIB) Compliance organization within
Global Surveillance Oversight. The CIB Compliance organization serves as the second line and is accountable for oversight and monitoring of associated risks for their groups. This team provides independent oversight of the first-line CIB Market Conduct & Supervision Program and all related market abuse surveillance activities.
Learn more about the career areas and lines of business at wellsfargojobs.com
In this role, you will:- Provide oversight, monitoring, and effective challenge of the front-line CIB surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
- Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
- Manage oversight program initiatives and activities including but not limited to Quality Assurance activities.
- Proficient in Policy creation and maintenance.
- Experience participating in Market Abuse Risk Assessment and providing credible challenge.
- Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding front line oversight
- Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
- Develop and present GSO materials to senior management.
- Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
- Experience in Risk and Control Self-Assessment (RCSA) exercises, including analyzing control suite and participating in annual refresh sessions.
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
- 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.
Required Qualifications:- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:- Strong leadership skills.
- Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement, and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
- Understanding of Corporate and Investment Banking business operations, processes, products, and customer interactions.
- Subject matter expertise and experience in foreign exchange, rates, and equities surveillances.
- Strong experience with Data Management and Technology engagements.
- Prior experience with trade data and parameter reviews, regression testing, documentation, and data aggregation experience.
- Strong analytical skills with high attention to detail and accuracy.
- Ability to initiate action, engage in effective challenge, make difficult decisions, and raise issues where necessary.
- Professionalism, adaptability, and strong collaboration skills.
- Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
- Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
- Demonstrate good judgment and problem-solving abilities.
- Ability to prioritize and complete multiple engagements simultaneously.
Job Expectations:- Ability to travel up to 5% of the time.
- This position offers a hybrid work schedule.
- Willingness to work onsite at stated location on the job posting.
- This position is not eligible for VISA sponsorship.
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
Job Locations - Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC
Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$144,400.00 - $300,000.00
Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Posting End Date:22 Jun 2025
* Job posting may come down early due to volume of applicants. We Value Equal OpportunityWells Fargo is an equal opportunity employer. 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.
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.
Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells 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.
