Senior Lead Compliance Officer - Swap Dealer Compliance, Wells Fargo

Senior Lead Compliance Officer - Swap Dealer Compliance

Wells Fargo

Location:
United States, Charlotte

Category:
Banking

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Senior Lead Compliance Officer within CIB Corporate Investment Banking Markets Compliance Groups, responsible for Swap Dealer compliance activities and regulatory risk management.

Job Responsibility:

Advise and challenge Front line personnel related to Swap Dealer activities
Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters
Direct the implementation of effective compliance strategies to assess key risks and anticipate regulatory issues
Support effective coordination of compliance-related regulatory examinations and build relationships with regulators
Foster communication and cooperation across the three lines of defense
Sustain a strong risk culture that identifies and provides oversight of compliance issues
Establish, implement and maintain risk standards and programs to drive compliance with regulatory requirements
Provide regulatory compliance risk expertise and consulting for projects and initiatives

Requirements:

7+ years of Compliance experience or equivalent through work experience, training, military experience, education
Experience designing and executing a CFTC Swap Dealer compliance program including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training
Expert-level knowledge of Swap Dealer regulations and associated compliance programs
Deep understanding of Title VII of the Dodd Frank Act and industry and compliance risk-related best practices
Strong analytical, critical thinking and problem-solving skills
Strong written and oral communication skills

Nice to have:

Experience with FINRA background screening requirements
Knowledge of compliance policies regarding outside activities and/or personal investing

Additional Information:

Job Posted:
September 17, 2025

Expiration:
September 29, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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