Senior Lead Compliance Officer, Wells Fargo

Wells Fargo

Location:
United States, Charlotte ▼
Irving
Minneapolis
Tempe
West Des Moines

Category:
Finance

Contract Type:
Employment contract

Salary:

144400.00 - 300000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate Risk as part of the Global Surveillance Oversight Team, responsible for providing governance oversight of market abuse surveillance activities. The role involves governance, risk management, and corporate policy oversight. Applicants must meet required qualifications, possess strong leadership and analytical skills, and have deep expertise in regulatory compliance and market surveillance.

Job Responsibility:

Provide oversight, monitoring and effective challenge of the front-line surveillance program
Oversee the execution and challenge of surveillance and market abuse risk related decisions
Develop and provide independent credible challenge to standards
Support corporate governance aspects of the GSO program
Monitor and independently challenge the reporting, escalation, and remediation of issues
Develop and present Oversight program materials to senior management
Provide regulatory compliance risk expertise and consulting for projects and initiatives
Assist with Risk and Control Self-Assessment exercises
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers
Assist with Data Management and Technology engagements

Requirements:

7+ years of Compliance experience
Proven track record of improving processes and enhancing surveillance applications
Surveillance, testing or audit experience in a regulatory environment
Experience in a financial services, audit, compliance or regulatory organization
Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors
Knowledge of FINRA, CFTC, NFA, FX Global Code
Surveillance exposure in fixed income, derivatives, equities and futures asset classes
Understanding of market abuse concepts and experience operating surveillance platforms
Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions
Subject matter expertise and experience in rates and/or equities surveillance, data types and lifecycles
Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience
Strong analytical skills with high attention to detail and accuracy
Ability to initiate action, engage in effective challenge, make difficult decisions, and raise issues
Professionalism, adaptability and strong collaboration skills
Good communication skills (verbal and written)
Strong Microsoft Office skills
Demonstrate good judgment and problem-solving abilities
Ability to prioritize multiple engagements
Strong leadership skills

Nice to have:

Surveillance exposure in fixed income, derivatives, equities and futures asset classes
Understanding of market abuse concepts and experience operating surveillance platforms
Subject matter expertise and experience in rates and/or equities surveillance, data types and lifecycles
Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience
Knowledge of FINRA, CFTC, NFA, FX Global Code

What we offer:

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance
Critical illness insurance
Accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement

Additional Information:

Job Posted:
May 05, 2025

Expiration:
May 11, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Senior Lead Compliance Officer