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ECO - Trade Surveillance Sr. Compliance Specialist

  • Governance & Controls
  • Full time
  • R-323695

About this role:

The Sr. Compliance Specialist is responsible for monitoring the flow of material nonpublic information (MNPI) and preventing/detecting  the misuse of MNPI using an information barrier program, a key component of which is trade surveillance. The Enterprise  Compliance Control Group  surveillance team is tasked with monitoring employee, and institutional trading activity within the Corporate and Investment Bank & Enterprise Functions. The team also monitors retail client and discretionary trading activity within Wealth and Investment Management to identify any suspicious activity associated with trading on material non-public information for issuers on the firm’s Watch List or for compliance with the firm’s Restricted List policies.  Additionally, a responsibility of this role is to assist in the execution of the team’s technology book of work associated with the trade surveillance platform.

In this role, you will:

  • Conducti information barrier trade surveillance for firm, customer, and employee personal account dealing (PAD)
  • Monitor the flow of material nonpublic information (MNPI) to detect potential breaches of the firm's Information Barrier Policy, restricted list, and insider trading.
  • Monitor the trading activity of subject employees within the investment, commercial, and retail banking lines of business, as well as Wealth & Investment Management (WIM), to identify potential breaches of PAD
  • Participate in the design and implementation of surveillance tools, monitoring processes and strategies to manage Information Barrier risk.
  • Review, research and disposition market abuse and rule-based trade surveillance alerts across the Equity security asset class
  • Provide oversight and monitoring of risk-based compliance programs.
  • Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
  • Evaluate potential exceptions based on securities laws, regulations, and internal policy.
  • Make decisions and resolve issues to meet compliance surveillance objectives.
  • Support the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
  • Support and implement initiatives with low to moderate risk
  • Manage and ensure accuracy of data
  • Troubleshoot system issues to determine root cause
  • Identify and recommend opportunities for process improvement and risk control development
  • Establish and maintain effective relationships with various teams
  • Mentor and guide junior members of the surveillance team

Desired Qualifications:

  • Extensive experience in the review of trade surveillance alerts across market conduct / abuse behaviors as well as rules-based surveillance using surveillance applications (Actimize ActOne, Protegent Market Abuse, Protegent Trading Compliance and Trading Hub)
  • Prior Compliance Control Group or surveillance related experience.
  • Proficient knowledge of data sets for trading in Equity products, including but not limited to quotes, orders and executions
  • Excellent verbal, written, and interpersonal communication skills.
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Adaptable to a collaborative work environment with multiple priorities and strict timelines


Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

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