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Wells Fargo · 1 day ago

Senior Lead Compliance Officer - Global Surveillance Oversight.

Charlotte, NC

Full-time

Onsite

Senior Level, Lead/Staff

$159K/yr - $305K/yr

7+ years exp

Wells Fargo is seeking a Senior Lead Compliance Officer to join the Corporate & Investment Banking Compliance organization within Global Surveillance Oversight. The role involves providing oversight and monitoring of trade and communications surveillance programs and ensuring compliance with regulatory requirements.

BankingFinancial ServicesFinTechInsurancePayments

Responsibilities

Provide oversight, monitoring and effective challenge of the front-line CIB trade and communications surveillance programs 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

Manage and develop oversight program initiatives and activities including but not limited to Quality Assurance activities

Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight

Provide compliance risk and regulatory subject matter expertise around surveillance and market abuse of front-line market conduct, supervision and surveillance elements

Manage communication and collaboration with business leaders, Legal, Audit, and regulators regarding compliance risks

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

Qualification

Compliance experienceMarket abuse conceptsSurveillance platformsTrade data reviewAnalytical skillsCommunication skillsCollaboration skillsProblem-solving abilities

Required

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