About this role:

Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB Compliance.  The Lead Compliance Officer will be responsible for managing topics across regions and asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be the CIB subject matter expert (SME), point of contact for the Front Line, and liaise with enterprise functions. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework. Learn more about the career areas and business divisions at wellsfargojobs.com.

In this role, you will:

Provide oversight and monitoring of business group risk based compliance programsMaintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business linesEstablish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirementsOversee the Front Line's execution and challenges appropriately on compliance related decisionsDevelop, oversee, and provide independent credible challenge to standards with subject matter expertiseProvide direction to the business on developing corrective action plans and effectively managing regulatory changeReport findings and make recommendations to management and appropriate committeesIdentify and recommend opportunities for process improvement and risk control developmentReceive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsMonitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk managementOversee the Front Line's execution and challenges appropriately on compliance related decisionsMake decisions and resolve issues to meet business objectivesInterpret policies, procedures, and compliance requirementsCollaborate and consult with peers, colleagues and managers to resolve issues and achieve goalsWork with complex business units, rules and regulations on moderate to high risk compliance mattersInterface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications, US:

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

Desired Qualifications:

2+ years of experience covering complaints, allegations, customer remediation and/or conduct topics. 2+ years of risk management experience within financial services industry, and familiar with framework and procedures for monitoring activities and risk appetite measurement executed by Risk Type and Business Aligned Oversight teams, designed to comply with the operational risk monitoring requirements of the Independent Monitoring, Testing, and Validation Policy, Operational Risk Program Policy, and Compliance Program PolicyExcellent verbal, written, and interpersonal communication skills2+ years of experience working with Broker Dealers, and associated regulators (e.g., investment banking, financial markets, Broker-Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and securitization)2+ years of experience in or with the Front Line in defining and executing supervisor responsibilitiesExperience with change management, for example implementing a new regulation, policy, framework2+ years of experience working within Compliance program infrastructure including regulatory requirements and associated risk management policy, procedures, and risk ratingsAdvanced analytical skills including use of Microsoft excel. Advanced skills using PowerPoint and creating presentations.  Ability to collaborate with Compliance program owners, business and support partners, and other teammates to solve business problemsKnowledge of generating, analyzing, and escalating key risk and performance indicators to drive process enhancements and strategic decision making

Job Expectations:

401 S Tryon Street, Charlotte, NCWillingness to work on-site at stated location on the job opening.This position offers a hybrid work scheduled.This position is not eligible for Visa sponsorship.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 CFR 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.Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$119,000.00 - $187,000.00

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 benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursement

Posting End Date:

28 Jul 2025

*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.