Senior Lead Compliance Officer - Bank / Broker-Dealer Control Room

About this role:

Wells Fargo is seeking a highly experienced Senior Lead Compliance Officer to operate at the Executive Director level within the Control Room function. This role will serve as a key subject matter expert responsible for overseeing and enhancing compliance frameworks related to information barriers, insider trading prevention, and material non-public information (MNPI) governance across the enterprise. 
 
The successful candidate will partner closely with Investment Banking, Lending Lines of Business, Sales & Trading, Research, and Legal teams to ensure robust control of room operations and adherence to regulatory expectations. 

In this role, you will:

• Maintain and oversee Watch List, Restricted List, and Persistent Insider List 

• Facilitate and approve information barrier crossings 

• Maintain inventory of public vs. private information designations 

• Provide guidance on information-sharing requests and MNPI implications 

• Deliver clearance reviews for Equity Research 

• Develop and deliver training on insider trading and information barriers 

• Collaborate with Legal, Surveillance, and Compliance partners 
• 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
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications 

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

Desired Qualifications 

• 8+ years’ experience in a bank or broker-dealer Control Room function 

• Deep expertise in insider trading regulations and information barriers 

• Experience managing watch lists, restricted lists, and insider lists 

• Juris Doctor (JD) or advanced degree 

• FINRA Series 7, 79 or willingness to obtain within 12 months 

• Experience working with senior leadership and regulators 

Job Expectations:

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

Job Posting Locations:

• 333 Market St, San Francisco, CA
• 1150 W Washington St., Tempe, AZ

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.