Lead Compliance Officer - Trade Surveillance Oversight

Lead Compliance Officer

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Trade Surveillance Oversight Team.

This role will be responsible for providing oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities.

In this role, you will:

• Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
• Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
• Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
• Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
• Develop and present Oversight program materials to senior management.
• Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
• Make decisions and resolve issues to meet business objectives.
• Interpret policies, procedures, and compliance requirements.
• 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.

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
• 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 with fixed income, municipals, and futures a plus.
• Proven track record of improving processes and enhancing surveillance applications (Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI)
• Surveillance, testing or audit experience in a regulatory environment experience
• 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
• Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience.
• Strong leadership skills and strong analytical skills with high attention to detail and accuracy.
• Ability to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues.
• Professionalism, adaptability and strong collaboration skills.
• Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
• Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
• Demonstrate good judgment and problem-solving abilities.

Job Expectations:

• Ability to travel up to 10% of the time.
• This position offers a hybrid work schedule.
• Willingness to work onsite at stated location on the job posting.
• This position is not eligible for VISA sponsorship.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Job Locations:

• Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC

Pay Range: $119,000.00 - $224,000.00

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• 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 is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.