Business Accountability Senior Manager- Communications Surveillance Job at Wells Fargo (Charlotte)

Business Accountability Senior Manager- Communications Surveillance

Wells Fargo

Location:
United States , Charlotte

Category:
Finance

Contract Type:
Not provided

Salary:

159000.00 - 254000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Business Accountability Senior Manager- Communications Surveillance. As the CIB Communications Surveillance Global Lead, you will oversee the execution and continuous improvement of our communications surveillance program across all regions. This role will ensure surveillance controls are robust, regulatory expectations are met, and the program adapts to new risks and communication channels. The role will involve partnering with stakeholders in Compliance, Front Office, and Internal Audit to deliver high-quality review outcomes. Role will also lead key projects, manage regulatory deliverables, and drive process enhancements.

Job Responsibility:

Manage, train, and develop surveillance analysts, fostering a culture of compliance and continuous improvement
Drive improvements in surveillance training by contributing subject matter expertise to central compliance training efforts
Identify and recommend opportunities for process improvement, risk mitigation, and control strategies
Maintain up-to-date knowledge of evolving regulatory expectations and surveillance trends to keep the program forward-looking and robust while ensuring alignment with regulatory requirements and industry best practices
Determine appropriate strategies and actions, interpret and develop policies and procedures, and provide leadership to strategize and execute a variety of programs, services, initiatives, protocols, and deliverables
Collaborate with Compliance, Legal, Technology, and business partners to resolve issues and enhance program effectiveness
Participate in industry groups
Manage and guide the Communications Surveillance review team, ensuring timely identification, escalation, and resolution of risks
Collaborate with supervisors and compliance stakeholders to handle escalated issues and ensure appropriate follow-up in line with regulations
Design and manage performance metrics and reporting tools (e.g., MIS, KPIs, KRIs) to measure program effectiveness and surface critical findings
Collaborate with and influence all levels of professionals including senior managers to successfully ensure appropriate management of business risk

Requirements:

6+ years of risk management, business controls, or compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
3+ years of management or leadership experience

Nice to have:

Strategic, solution‑oriented leader - development of strategy and implementation
Strong knowledge of global trading rules, market conduct, and voice recording regulations
Hands-on experience with communications surveillance systems
Proven ability to lead large-scale initiatives and work effectively with senior stakeholders across global teams
Exceptional communication, analytical, and problem-solving skills, with a track record of presenting complex information clearly

What we offer:

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

Additional Information:

Job Posted:
March 19, 2026

Expiration:
March 22, 2026

Employment Type:

Fulltime

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Chief Country Compliance Officer Sr Mgr

Oversees the Citi Compliance Risk Management Program for a medium to smaller fra...

Location

Bahamas , Nassau

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Credibility as a subject matter expert and experience of dealing with issues that have a high impact at all levels of the organization
Experience of working with key country level regulators and industry associations
Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes
An ability to influence senior business leaders on all compliance risk-related matters affecting the business. The individual should have the ability to independently challenge, when needed, while at the same time being supportive and solution-based and not being perceived as obstructive
An ability to be “hands on” and “in the trenches” with the direct team, while also bringing a sense of strategic vision and a global sensibility to the function
Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders’ needs are met
Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to effectively communicate the strategic vision to various stakeholder groups
Effective negotiation skills, a proactive and “no surprises” approach in communicating issues and strength in sustaining independent views. Strong presentation and relationship management and influencing skills are essential
The ability to thrive and execute in a complex, highly matrixed, global environment
Bachelor’s Degree highly preferred or relevant, equivalent experience. Preference for post graduate degree and/or recognized professional qualifications where applicable. Professional qualifications may include: CRMC or equivalent, CPA, ACA, CIA, CFA, ACAMS, etc. strong technical knowledge of compliance regulations and requirements, experience within a highly complex, global financial institution, regulator or related industry participant.

Job Responsibility

Annual Country Compliance Plan: Preparing, obtaining approval and successfully completing an annual compliance risk management plan, in accordance with the global template and content and presentation requirements, setting out how compliance risk will be managed within the jurisdiction and its constituent parts, and the role to be played by ICRM in order to achieve the plan. Identification of the jurisdictional requirements, accountabilities and the process ownership and monitoring and testing ownership, as well as the determination of suitable staffing, hours required and secured budget in order to achieve the state of compliance within risk appetite will be set out in the plan, which will be reviewed quarterly with the jurisdictional CCC and ICRM, as well as any applicable legal entity, as well as where required by applicable regulatory agencies. The annual country compliance plan must take into consideration the applicable compliance risk assessments and MCAs appropriate to the jurisdiction and its activities.
State of Compliance Reporting: Preparing quarterly, in accordance with the approved global format, and in adherence to all established requirements for the State of Compliance reporting. The State of Compliance report will be presented to the appropriate CCC, BRCC and legal entity Board or Board Audit Committee, or other such Board committee required within the jurisdiction.
Enhancing Governance: Providing a valued interactive program of support and compliance risk management services covering the assessment and reporting of Key Compliance Risks across products, services, functions, legal entities, service centers and the jurisdiction as a whole. Providing stakeholders with insight and practical solutions as well as credible challenge to improve the ethical control culture, and conduct risk environment. Timely reporting of significant local regulatory issues to local, overseas, regional, and global stakeholders. Same-day escalation of regulatory reports received. Maintaining on-going assessment and reporting of the State of Compliance through the relevant corporate governance committees such as country audit committee(s) and/or subsidiary board(s), country coordinating committee and business risk management committee, and other management body(ies). Key Activities Compliance Risk Culture:
Stakeholder Support and Relationships: Developing senior management relationships, including with legal entity management focus, inclusive of non-executive directors (where they exist in the jurisdiction), and the CCO as well as product functional and entity/service center line management. Informing senior management and directors of subsidiary boards, and the country/business management of significant compliance matters that require their attention or action. Proactively anticipate and help the business and functions plan for changes in the compliance and regulatory environment in the country. Provide support to compliance programs and country/business management on policy interpretation and “gray area” exposures. Build and maintain strong relationships with other functional leads, including Legal, Risk Management, including Operational Risk Management, and Internal Audit to create a supportive and seamless compliance and ethical control culture and an appropriate conduct risk environment. Key Activities Processes and Activities:
Regulatory Management and Coordination: Supporting the Citi Country Officer (CCO) in the management and development of regulatory relationships. Coordinating as the key interface with regulators on compliance risk management issues and supervisory exam management matters. Providing same day notification of regulator correspondence to Citi Compliance Officer, Regulatory Liaison and Exam Management CCO and ICRM COO. Providing leadership, coordination and regular interaction with the [insert country] authorities on behalf of ICRM and the Citi franchise. Record regulator correspondence and minutes of regulator meetings on Citi system in line with the Global Regulatory Exam Management Governance and Process Standards. Ensuring prompt recording of, responses to, and escalation of regulatory queries, notices of violations and breaches, any forbearance, and concerns identified. Deliver to regulators and supervisors a valued interactive program of support and assurance in accordance with requirements and appropriate expectations on compliance issues, trends, themes, root cases and impacts relating to governance, regulatory risk management and internal control issues. The overall objective is to earn the regulator’s trust and to establish a strong, independent and professional regulatory relationship across the franchise.
Regulatory Inventory: Ensuring prompt identification, logging in, evaluation and formulation of a plan to address requirements arising from new and amended laws, regulations, rules and other requirements and expectations from regulatory and enforcement authorities.
Regulatory Change Management and Controls: Ensuring that the regulatory change management requirements and processes, along with the regulatory control framework for existing requirements, are effectively operating within the country with respect to the identification, impact assessment and implementation of all applicable laws, regulations, rules and related processes, controls and reporting that impact Citi activities in the jurisdiction.
Anti-Money Laundering Compliance Risk Management (ACRM): Providing strategic direction, oversight, coordination and cooperation in respect of the country’s Anti-Money Laundering compliance risk management program. Partner closely and with the Head of ACRM to ensure a strong linkage between ICRM and ACRM.
Independent Compliance Risk Management (Program and Product/Service/Function focused*): Providing direction and oversight in supporting the ICRM teams in the country related to local requirements and the applicable extraterritorial laws, regulations, relevant Citi policies, standards, and global procedures. Deliver consistent application of program procedures and be accountable to program owners consistent with the ICRM methodology and CRM Framework. *Programs include but are not limited to: Sanctions
Anti Bribery

Fulltime

Business Accountability Senior Manager- Communications Surveillance

Wells Fargo

Location:
United States , Charlotte

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
March 19, 2026

Expiration:
March 22, 2026

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Business Accountability Senior Manager- Communications Surveillance

Wells Fargo

Location:United States , Charlotte

Category:Finance

Contract Type:Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:March 19, 2026

Expiration:March 22, 2026

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