CrawlJobs Logo
Wells Fargo Logo Wells Fargo · Banking

Senior Lead Compliance Officer - Bank / Broker-Dealer Control Room

United States, Tempe 159000.00 - 305000.00 USD / Year · Job Posted May 15, 2026

Job offer has expired

Job Link Share

Job Description

Wells Fargo is seeking a highly experienced Senior Lead Compliance Officer to operate at the Executive Director level within the Control Room function. This role will serve as a key subject matter expert responsible for overseeing and enhancing compliance frameworks related to information barriers, insider trading prevention, and material non-public information (MNPI) governance across the enterprise. The successful candidate will partner closely with Investment Banking, Lending Lines of Business, Sales & Trading, Research, and Legal teams to ensure robust control of room operations and adherence to regulatory expectations.

Job Responsibility

  • Maintain and oversee Watch List, Restricted List, and Persistent Insider List
  • Facilitate and approve information barrier crossings
  • Maintain inventory of public vs. private information designations
  • Provide guidance on information-sharing requests and MNPI implications
  • Deliver clearance reviews for Equity Research
  • Develop and deliver training on insider trading and information barriers
  • Collaborate with Legal, Surveillance, and Compliance partners
  • 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
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Requirements

  • 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 8+ years’ experience in a bank or broker-dealer Control Room function
  • Deep expertise in insider trading regulations and information barriers
  • Experience managing watch lists, restricted lists, and insider lists
  • Juris Doctor (JD) or advanced degree
  • FINRA Series 7, 79 or willingness to obtain within 12 months
  • Experience working with senior leadership and regulators

Nice to have

  • Juris Doctor (JD) or advanced degree
  • FINRA Series 7, 79 or willingness to obtain within 12 months

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
Wells Fargo - All Job Offers

Looking for more opportunities?

Search for other job offers that match your skills and interests.

Suggested Tags: Frontend Developer Secretary Talent Manager Salesforce Administrator Data Analyst
Similar Jobs for

Senior Lead Compliance Officer - Bank / Broker-Dealer Control Room

8 matching positions

New

Senior Brand Designer, China

As Senior Brand Designer, China, you will help define how the brand comes to lif...
Location
Location
China , Shenzhen
Salary
Salary:
420000.00 - 600000.00 CNY / Year
https://www.randstad.com Logo
Randstad
Expiration Date
September 28, 2026
Flip Icon
Requirements
Requirements
  • 5+ years of relevant experience
  • Strong senior brand designer with experience building premium brand systems in China
  • Experience working with global brands, localizing global creative systems, or building a market-specific identity is highly valued
  • Deep understanding of Chinese consumer behavior, cultural nuance, digital platforms, and visual trends
  • Strong taste and the ability to create elevated, premium, and modern creative
  • Experience translating technical, scientific, or complex product ideas into simple and desirable visual communication
  • Ability to think in systems, not just one-off assets
  • Strong content strategy instincts across social, e-commerce, campaigns, and launch moments
  • Comfort operating in a 0-to-1 environment where the brand, audience, and education model are still being built
  • Ability to partner cross-functionally with marketing, product, e-commerce, agencies, and global creative teams
Job Responsibility
Job Responsibility
  • Own and evolve the visual identity across digital, social, e-commerce, campaign, and offline experiences for the China market
  • Translate complex product features, health science, recovery benefits, and data into clear and compelling visual storytelling
  • Build campaign systems and content frameworks across key pillars, including product and technology education, sports performance, local athlete storytelling, professional credibility, and longevity
  • Partner with global creative teams to localize existing brand assets while identifying where China requires unique creative development
  • Develop premium, culturally relevant creative that resonates with Chinese audiences while staying true to the global brand identity
  • Help shape the creative direction for offline launch events, retail moments, KOL activations, and product education experiences
  • Work with design contractors, e-commerce agencies, and local partners to ensure high-quality execution across touchpoints
  • Build repeatable creative systems that allow the China team to move quickly while maintaining brand depth and consistency
  • Help expand the audience from core tech/fitness enthusiasts and athletes into a broader affluent consumer segment
  • Fulltime
Read More
Arrow Right

Toast Reporting Analyst

We are seeking an experienced Business Systems Analyst with hands-on expertise i...
Location
Location
United States , Tampa
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 5+ years of experience as a Business Systems Analyst or similar role
  • Direct, hands-on experience with Toast POS (REQUIRED – must have implemented or heavily configured Toast)
  • Proven experience leading or supporting system implementations within tight timelines
  • Strong reporting and data analysis skills (labor, sales, profitability)
  • Experience with data mapping, validation, and system reconciliation
  • Ability to interface with both technical teams and business stakeholders
  • Strong problem-solving skills with a focus on process improvement
Job Responsibility
Job Responsibility
  • Lead and execute a Toast POS implementation within a 30-day timeline
  • Extract, validate, and map data across Toast to ensure accuracy and completeness
  • Generate and analyze key operational and financial reports, including: Labor reporting
  • Profitability reporting
  • Tips distribution analysis (including gratuity integration)
  • Partner with internal stakeholders to validate reporting logic and business rules
  • Collaborate directly with Toast support for system configuration, including: Gift card management and database setup
  • Differentiation of delivery vs. catering revenue streams
  • Analyze inventory data to identify: Waste trends
  • Product shortages
What we offer
What we offer
  • Medical, vision, dental, and life and disability insurance
  • Company 401(k) plan
  • Fulltime
Read More
Arrow Right

Assistant Director of Finance NX

JOB OVERVIEW: To coordinate, organize, and actively oversee the operation of the...
Location
Location
United States , Dallas
Salary
Salary:
Not provided
https://www.marriott.com Logo
Marriott Bonvoy
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Ability to communicate in English
  • Self-starting personality with an even disposition
  • Maintain a professional appearance and manner at all times
  • Can communicate well with guests
  • Willing to pitch-in and help co-workers and be a team player
  • Ability to analyze large volume of complex financial information from many sources and create reports, forecasts projections for Executive level committees
  • Basic understanding of complex computerized financial systems and ability to use it including manual dexterity to operate all office machines
Job Responsibility
Job Responsibility
  • Coordinate, organize, and actively oversee the operation of the Auditing/Accounting department
  • Manage cash flow, necessary reporting and approval of all accounting functions
  • Interview, hire, train, recommend performance evaluations, resolve problems, provide open communication and recommend discipline and/or termination when appropriate
  • Review all ledger account reconciliations to include: bank statements, assets, liabilities and credit cards
  • Coordinate and review monthly financial statements for accuracy
  • Monitor coding of cash receipts
  • Direct and supervise the performance of accounting, auditing, and cashiering associates, including the maintenance of payroll records
  • Prepare Annual Depreciation schedules for furniture, equipment, building supplies, revisions and alterations
  • Review tax returns to ensure compliance with state and federal regulations
  • Prepare the utilities and telephone accruals monthly
  • Fulltime
Read More
Arrow Right

Email Marketing Officer

If you have experience planning, creating and delivering email marketing campaig...
Location
Location
United Kingdom , Northampton
Salary
Salary:
32000.00 GBP / Year
jobs.360resourcing.co.uk Logo
360 Resourcing Solutions
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Experience planning and delivering email marketing campaigns using an email service provider
  • Strong knowledge of email marketing principles including segmentation, A/B testing, deliverability and GDPR
  • Clear digital copywriting and editing skills with good attention to detail
  • Confidence using data to evaluate performance and improve outcomes
  • Understanding of digital accessibility in email content and design
  • Ability to manage multiple campaigns and priorities
  • Experience using design tools or working closely with designers
  • Awareness of current email marketing trends and platform developments
Job Responsibility
Job Responsibility
  • Plan and deliver targeted email campaigns with teams across the MND Association
  • Manage day-to-day use of the email marketing platform, ensuring accurate and timely delivery
  • Write, design and build emails that follow brand, tone of voice and best practice
  • Support automated email journeys and stewardship communications
  • Work with data colleagues to use audience data responsibly and in line with GDPR
  • Analyse performance and produce clear reports with practical recommendations
  • Test subject lines, content and send times to improve engagement
  • Ensure all emails meet accessibility standards and work well across devices
What we offer
What we offer
  • 28 days holiday, increasing to 33 days after 5 years, plus Bank Holidays
  • Access to UK Healthcare, including dental, eyecare, health screenings, and therapies
  • 24/7 GP access via phone and video
  • Life assurance and confidential counselling helplines
  • Salary sacrifice schemes (Cycle to Work, Buy/Sell Annual Leave)
  • Access to Benefit Hub for discounts on everyday shopping
  • Enhanced pension scheme
  • Opportunities for training and personal development
  • Hybrid working
  • Fulltime
Read More
Arrow Right

Assistant Director of Finance

The Assistant Controller manages the day-to-day operation of the Accounting Offi...
Location
Location
Thailand , Phuket
Salary
Salary:
Not provided
https://www.marriott.com Logo
Marriott Bonvoy
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 4-year bachelor's degree in Finance and Accounting or related major
  • no work experience required.
Job Responsibility
Job Responsibility
  • Manages the day-to-day operation of the Accounting Office
  • financial analysis and financial reporting
  • budgeting/forecasting
  • audit and control
  • asset and liability reconciliation
  • working capital and cash control
  • assisting in management of accounting team
  • managing projects and policies
  • demonstrating and applying accounting knowledge
  • providing financial information and guidance to others
  • Fulltime
Read More
Arrow Right

Accounting Manager

Join a leading residential real estate company as an Accounting Manager. This ro...
Location
Location
United States , New Brunswick
Salary
Salary:
115000.00 - 125000.00 USD / Year
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Strong experience in residential real estate accounting
  • Background in joint ventures
  • HUD experience is a plus
  • Advanced Excel skills required
  • Familiarity with Blackbaud preferred (not required)
  • Detail-oriented with strong analytical and communication skills
Job Responsibility
Job Responsibility
  • Manage accounting functions for residential real estate operations
  • Review and analyze partnership and joint venture deals
  • Handle financial reporting and compliance
  • Collaborate on budgeting and forecasting processes
What we offer
What we offer
  • Medical
  • Dental
  • Vision
  • One of the best healthcare plans in the industry
  • Opportunities for advancement
  • Life and disability insurance
  • 401(k) plan
  • Free online training
  • Fulltime
Read More
Arrow Right

Director of Marketing

Our client is rebuilding and scaling a regional marketing strategy function to s...
Location
Location
United States , Wilmington
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Industry experience in Home Services, Home Activation or similar
  • Proven experience as a regional or multi-location marketing leader, marketing strategist, or performance-focused marketing director
  • Strong expertise in ROAS, budget optimization, and marketing performance analysis
  • Deep understanding of full-funnel marketing—from awareness and lead generation through conversion and revenue impact
  • Experience working with distributed teams across multiple regions and locations
  • Comfortable operating in a highly data-driven environment while balancing relationship-building with local leaders
  • Background in market research, geo/zip-code analysis, or location-based marketing strongly preferred
Job Responsibility
Job Responsibility
  • Act as the primary marketing partner to regional and local leadership, building strong relationships with GMs and on-site teams
  • Own regional marketing strategy across ~7 locations, with a strong focus on local market insights, activation, and service line optimization
  • Analyze market-level performance using zip-code analysis, market research, and downstream performance metrics
  • Translate what's happening in each local market (demand shifts, competition, lead quality, volume trends) into actionable marketing recommendations
  • Evaluate marketing spend down to revenue generated—identifying where to invest more, where to pull back, and how to improve ROAS
  • Monitor full-funnel KPIs including top-of-funnel performance, lead quality, conversion, and downstream revenue health
  • Partner closely with internal performance teams and external agency partners to optimize execution and outcomes
  • Provide clear, data-backed recommendations to corporate marketing on budget allocation and opportunity areas
  • Support the rebuild and scale of the regional strategy function as the team is re-established
  • Leverage reporting tools (Power BI and similar platforms) to export, analyze, and interpret marketing and performance data
What we offer
What we offer
  • Medical
  • Vision
  • Dental
  • Life and disability insurance
  • 401(k) plan
Read More
Arrow Right

Assistant Director of Finance & Accounting

Assists in the development and implementation of property-wide strategies that d...
Location
Location
United States , Chicago
Salary
Salary:
79000.00 - 106000.00 USD / Year
https://www.marriott.com Logo
Marriott Bonvoy
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 4-year bachelor's degree in Finance and Accounting or related major
  • 1 year experience in the finance and accounting or related professional area OR Master's degree in Finance and Accounting or related major
  • no work experience required
Job Responsibility
Job Responsibility
  • Assists in the development of means to improve profit, including estimating cost and benefit, exploring new business opportunities, etc.
  • Analyzes information, forecasts sales against expenses and creates annual budget plans
  • Compiles information, analyzes and monitors actual sales against projected sales
  • Analyzes differences between actual budget wages and forecasted wages for more efficient budget planning
  • Identifies the underlying principles, reasons, or facts of information by breaking down information or data into separate parts
  • Assists in the creation of the annual operating budget for the property
  • Provides analytical support during budget reviews to identify cost saving and productivity opportunities for property managers
  • Assists in the implementation of a system of appropriate controls to manage business risks
  • Ensures a strong accounting and operational control environment to safeguard assets, improve operations and profitability
  • Analyzes financial data and market trends
  • Fulltime
Read More
Arrow Right