Lead Compliance Officer

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About this role:

Wells Fargo is seeking a Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Compliance team to support the Global Surveillance Oversight program. 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 Lead Compliance Officer will play a critical role in executing risk‑based oversight, conducting deep‑dive reviews, and supporting enhancements to communications surveillance program including governance, analytics, escalation frameworks, data quality and issue management. 

In this role, you will:

• Provide independent oversight and challenge of the front line’s Communications Surveillance Program, including email, voice, and other electronic communications monitoring.

• Act as a subject matter expert on communications surveillance risks, typologies, and regulatory expectations, supporting escalation and risk assessment activities.

• Perform deep‑dive reviews and investigations into potential compliance and conduct risks identified through surveillance alerts, inquiries, or thematic reviews.

• Assess the design and effectiveness of surveillance coverage for key conduct risks, including market abuse, misuse of information, inappropriate communications, and supervision gaps.

• Review and challenge front‑line surveillance governance, procedures, escalation frameworks, and decision‑making, including risk acceptance and remediation plans.

• Support oversight of alert review quality, investigative standards, documentation, and issue handling.

• Contribute to the identification of surveillance coverage gaps, emerging risks, and enhancement opportunities.

• Provide input into communications surveillance metrics, management reporting, and materials presented to senior management and governance committees.

• Interpret and apply applicable laws, regulations, and internal policies related to communications surveillance, supervision, and recordkeeping.

• Support Regulatory Compliance Testing, Internal Audit, and regulatory inquiries, including review of findings and corrective action plans.

• Collaborate with Technology and data partners to assess surveillance data quality, logic design, and tool enhancements.

• Maintain effective working relationships with front‑line businesses, Compliance partners, Legal, Audit, and other control functions.

• Exercise independent judgment while operating within established oversight frameworks and escalation protocols.

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:

• Experience performing or overseeing communications surveillance in a financial services environment.

• Strong understanding of communications‑based conduct risks, including market abuse, insider information, competition law, and market conduct breaches.

• Knowledge of global regulatory frameworks relevant to communications surveillance, such as MAR, MiFID II, and applicable US regulatory expectations.

• Experience conducting investigations, thematic reviews, or quality assurance over surveillance activities.

• Familiarity with communications surveillance platforms, analytics, and alert review workflows.

• Experience engaging with or providing support to senior Compliance management on escalation‑worthy matters.

• Exposure to the use of advanced analytics, automation, or artificial intelligence in communications surveillance, including awareness of governance and human oversight expectations.

• Strong analytical skills with high attention to detail and sound judgment.

• Excellent written and verbal communication skills, with the ability to clearly articulate findings and risks.

• Professionalism, adaptability, and strong collaboration skills in a fast‑paced, highly regulated environment.

• Ability to manage multiple priorities and work independently on moderate‑to‑high risk matters.

• 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.