Compliance Senior Manager

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About this role:

Wells Fargo is seeking a Senior Compliance Manager to join the Corporate & Investment Banking Compliance team as part of Compliance Global Surveillance Oversight. Learn more about the career areas and lines of business at wellsfargojobs.com. Global Surveillance Oversight is an independent risk management function responsible for independent oversight, challenge, and subject matter expertise over front‑line communications surveillance activities designed to identify, prevent, and mitigate market conduct and other compliance risks arising from communications.

The Senior Compliance Manager will lead a team that is responsible for assessing the design, implementation, and ongoing effectiveness of the front line’s Communications Surveillance Program, including governance, analytics, escalation frameworks, data quality, and issue management.

In this role, you will:

• Lead and develop a team responsible for independent oversight of the firm’s global Communications Surveillance Program, ensuring alignment with applicable federal, state, regulatory, legal, regulatory and internal policy requirements.

• Provide effective challenge over the front line’s execution of communications surveillance, including lexicons, coverage decisions, escalation practices, and risk acceptance.

• Oversee risk‑based reviews of communications surveillance governance, procedures, and operating effectiveness, including analyst review quality and issue handling.

• Assess surveillance coverage for key conduct risks (e.g., market abuse, misuse of information, supervision gaps, and inappropriate communications) and identify coverage gaps or emerging risks.

• Serve as a subject matter expert on communications surveillance regulatory expectations, including voice recording, electronic communications monitoring, supervision, and recordkeeping.

• Lead engagement with front‑line stakeholders, Legal, Internal Audit, Technology, and senior leadership on communications surveillance risks, issues, and remediation activities.

• Drive continuous improvement of the Communications Surveillance Oversight framework, including enhancements to processes, documentation standards, metrics, and management reporting.

• Manage complex compliance issues, escalating material risks and deficiencies as appropriate and ensuring timely remediation and clear accountability.

• Interpret and apply policies, procedures, and regulatory requirements to communications surveillance oversight activities.

• Influence and collaborate across lines of business and support functions to promote consistent, risk‑based surveillance practices.

• Provide coaching, mentoring, and performance management for direct reports and support ongoing capability building within the team.

Required Qualifications:

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

• 3+ years of management or leadership experience.

Desired Qualifications:

• Strong understanding of communications surveillance concepts, including voice and electronic communications monitoring, supervision, and recordkeeping requirements.

• Experience overseeing or operating communications surveillance platforms and analytics within a large financial institution.

• Knowledge of Corporate and Investment Banking products, market conduct risks, and business communication practices.

• Experience assessing surveillance coverage, alert review quality, and governance frameworks.

• Proven ability to provide independent challenge and engage effectively with senior stakeholders.

• Excellent written and verbal communication skills, with the ability to articulate complex regulatory expectations clearly and concisely.

• Strong analytical, organizational, and problem‑solving skills with high attention to detail.

• Demonstrated judgment, professionalism, and ability to manage multiple priorities in a highly regulated environment.

• Experience overseeing or assessing the use of advanced analytics, automation, or artificial intelligence tools within surveillance or compliance programs, including governance, model risk considerations, explain-ability, and regulatory expectations.

Job Expectations:

• Willingness to work on-site at stated location on the job opening.

• This position offers a hybrid work schedule.

• This position is not eligible for Visa sponsorship. 

• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

Posting Locations:

550 S Tryon St, Charlotte, NC

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Benefits

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

Posting End Date:

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

We Value Equal Opportunity

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.

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.

Applicants with Disabilities

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

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.