Senior Lead Compliance Officer - Structured Products Group (SPG) Job at Wells Fargo (Charlotte)

Job Description

We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital Markets and Warehouse lending functions. This role combines strategic advisory and operational compliance responsibilities, ensuring robust regulatory compliance across asset-backed lending, securitization and syndication. The role is part of the broader Corporate and Investment Banking (CIB) Compliance team and requires deep expertise in broker-dealer regulations and lending compliance. Learn more about the careers and lines of business at wellsfargo.com.

Job Responsibility

Serve as a subject matter expert on regulatory requirements impacting SPG, including Regulation AB, Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules
Execute and support day-to-day compliance activities related to Structured Products origination, syndication, and lending, serving as a primary compliance resource for SPG
Provide compliance advisory support for ABS issuance, syndication, and lending activities, including responding to stakeholder inquiries and issue escalation
Oversee and challenge Front Line execution of the SPG compliance program, ensuring adherence to regulatory requirements and internal policies
Develop, implement, and monitor risk-based compliance programs, controls, and initiatives aligned to the SPG mandate
Provide regulatory compliance risk expertise for high-risk projects, new products, and business initiatives
Conduct compliance risk assessments and support regulatory exams, audits, and inquiries
Monitor and assess regulatory developments, industry practices, and emerging risks, evaluating their impact on SPG activities and internal policies
Support regulatory change management, including corrective action planning and execution tracking
Prepare and deliver management-ready communications and reporting on compliance issues, risks, and activities
Design and deliver targeted compliance training and awareness for SPG stakeholders
Assess employee licensing and registration requirements and ensure ongoing compliance
Build strong partnerships with Legal, Risk, Audit, Credit, Market Risk, and Operations teams to support a consistent and effective control environment
Maintain a deep understanding of SPG products, risks, and controls, applying that knowledge to drive effective compliance outcomes
Accountable for execution of compliance initiatives impacting the SPG mandate
Occasional travel may be required

Requirements

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Advanced degree or professional certification (e.g., JD, CRCM)
Strong expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer, ABS, and capital markets activities
Experience with Fixed Income and Structured Products compliance programs
Familiarity with traditional lending regulations (e.g., Reg B, FCRA, UDAAP, SCRA, Reg W, Reg O, FDPA)
Knowledge of CFPB and consumer lending regulatory frameworks
Proven experience drafting policies and procedures and delivering compliance training
Strong communication, analytical, and problem-solving skills, with the ability to produce executive-ready materials
Demonstrated ability to manage multiple priorities in a fast-paced environment
Ability to work independently and collaboratively in a team-oriented setting

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

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Senior Lead Compliance Officer - Structured Products Group (SPG)

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