Lead Compliance Officer - PAD

About this role:

Wells Fargo is seeking a Lead Compliance Officer to serve as a leader within the Personal Account Dealing (PAD) program, with responsibility for critical components of the control framework that ensure accurate PAD subject population and trade freeze coverage. This role maintains the employee attributes, coverage logic, and related processes that drive PAD program controls and system outcomes, including annual attestation and trade restriction controls. The role requires strong leadership, sound judgment, and the ability to work closely with PAD leadership, business partners, and senior executives to drive well-controlled outcomes, address risk, and ensure a smooth and credible experience for stakeholders.

Success in this role will be measured by the ability to build strong partnerships across line-of-business Compliance, Front Line, Legal, and Control teams to keep PAD coverage and the trade freeze population accurate, timely, and aligned with business changes. It will also be measured by leading and improving key PAD applications and processes, including annual attestation, PAD onboarding, and post-trade review, while partnering effectively with Technology and stakeholders to translate control needs into clear requirements and sustainable solutions. Strong judgment, executive-ready communication, and a consistent focus on delivering a smooth and well-managed experience for stakeholders will also be critical to success.

About Conduct Risk and Enterprise Compliance Operations (CR & ECO):

CR & ECO sets requirements and provides subject matter expertise, governance, oversight, insights, and controls to mitigate risk associated with allegations, ethics, sales practices, conflicts of interest, personal account dealing, large shareholder requirements, information barriers, registration, and insurance licensing. ​

Learn more about career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Report to the Global Head of Personal Account Dealing and collaborate across PAD and ECO functions.
• Maintain an accurate PAD subject population and related coverage by overseeing the attributes and logic that support PAD controls and system outcomes, including annual attestation and trade restriction controls.
• Lead enhancements to PAD applications and processes, including annual attestation, PAD onboarding, and post-trade review, by partnering with Technology and stakeholders to turn control needs into clear requirements and sustainable solutions.
• Lead the annual attestation process for PAD-covered employees, including communications, tracking, and risk-based escalation.
• Support quarterly WFC Trade Freeze population verification and employee notification activities to help ensure restrictions are applied correctly and controls remain effective.
• Serve as a Managerial Oversight Activity delegate for key PAD processes, with responsibility for appropriate governance, controls, and issue management.
• Communicate complex and sensitive compliance matters with professionalism, sound judgment, and tact, including direct engagement with senior executives and Operating Committee members.
• Provide coaching and support to PAD Team peers to ensure consistency and knowledge sharing.
• Develop and maintain internal documentation, including emails, FAQs, training materials, and guidance, to support clear, consistent, and professional communication.
• Collaborate with peers, managers, and business partners to resolve issues and achieve business objectives.
• Identify and recommend opportunities to strengthen processes and enhance risk controls.
• Exercise independent judgment while developing expertise in function-specific policies and compliance requirements.
• Maintain strong partnerships with line-of-business Compliance, Front Line, Legal, and Control teams.

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• Must possess or obtain the SIE and FINRA Series 7 or 79 securities license within 12 months of accepting the role.
   

Desired Qualifications:

• Familiarity with Personal Account Dealing and Information Barrier programs and controls.
• Proven track record supporting audits, regulatory exams, and control testing, including preparation of clear documentation, evidence packages, and sustainable remediation plans.
• Experience engaging directly with senior executives.
• Strong ability to navigate a large, matrixed organization, including building partnerships across lines of business and corporate functions to drive timely decisions and outcomes.
• Demonstrated experience managing subject population governance (inclusion/exclusion logic, ongoing maintenance, and change control) for a compliance program or enterprise control.
• Proven ability to work independently, solve complex problems, and bring issues and projects to closure with clear ownership and follow-through in a fast-moving environment.
• Ability to interpret policy and regulatory requirements and translate them into practical, well-controlled processes supported by clear decision-making and documentation standards.
• Experience supporting application governance, product ownership, or business-led change management for compliance tools or workflow platforms, including requirements, testing, and rollout.
• Exceptional written judgment and messaging discipline for sensitive employee communications and executive-facing updates.
• Strong presentation skills with the ability to communicate complex requirements clearly and professionally.
• Advanced Microsoft 365 Copilot skills, including strong prompt writing, and development of executive-ready summaries, communications, and presentation materials.
• Strong analytical, organizational, and communication skills, with the ability to prioritize effectively, meet deadlines, and maintain a high level of attention to detail in a dynamic environment.
• High level of integrity and discretion in handling confidential information.
• Bachelor’s degree or higher in business, law, accounting, finance, economics, or a related field.

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• 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 CRF 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 Posting Locations:

• 401 S Tryon St Charlotte, NC
• 114 N Beaumont St - D Bldg. St. Louis, MO
• 800 S Jordan Creek Pkwy West Des Moines, IA

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.

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.

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.