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 business divisions at wellsfargojobs.com

In this role, you will:

• Provide oversight, monitoring and effective challenge of the front-line CIB trade and communications surveillance programs 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 and develop oversight program initiatives and activities including but not limited to Quality Assurance activities.
• Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
• Provide compliance risk and regulatory subject matter expertise around surveillance and market abuse of front-line market conduct, supervision and surveillance elements.
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators regarding compliance risks.
• 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:

• Demonstrated understanding of market abuse concepts and experience operating surveillance platforms.
• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
• Prior experience with trade data review, documentation and aggregation.
• Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
• Strong analytical skills with high attention to detail and accuracy.
• Professionalism, adaptability and strong collaboration skills.
• Ability to initiate action, engage in effective challenge, make difficult decisions, and raise issues.
• Demonstrate good judgment and problem-solving abilities.
• Ability to prioritize multiple engagements simultaneously.

Job Expectations:

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• Willingness to work on-site at stated location on the job opening.

Job Posting Locations:

• 150 E 42nd, New York
• 401 S Tryon St Charlotte, NC

Pay Range
 

Reflected 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.

Posting End Date:

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

We Value Equal Opportunity

Wells 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 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.