<p>About this role:</p> <p>Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to support the Electronic Trading / Market Access Compliance Program on the Cross Asset Team. The Lead Compliance Officer will be responsible for managing aspects of the program across asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be the CIB subject matter expert (SME) and point of contact for the Front Line. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework.</p> <p>In this role, you will:</p> <ul> <li> <p>Provide oversight and monitoring of business group risk based compliance programs</p> </li><li> <p>Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines</p> </li><li> <p>Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements</p> </li><li> <p>Oversee the Front Line's execution and challenges appropriately on compliance related decisions</p> </li><li> <p>Develop, oversee, and provide independent credible challenge to standards with subject matter expertise</p> </li><li> <p>Provide direction to the business on developing corrective action plans and effectively managing regulatory change</p> </li><li> <p>Report findings and make recommendations to management and appropriate committees</p> </li><li> <p>Identify and recommend opportunities for process improvement and risk control development</p> </li><li> <p>Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements</p> </li><li> <p>Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management</p> </li><li> <p>Oversee the Front Line's execution and challenges appropriately on compliance related decisions</p> </li><li> <p>Make decisions and resolve issues to meet business objectives</p> </li><li> <p>Interpret policies, procedures, and compliance requirements</p> </li><li> <p>Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals</p> </li><li> <p>Work with complex business units, rules and regulations on moderate to high risk compliance matters</p> </li><li> <p>Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics</p> </li></ul> <p>Required Qualifications, US:</p> <ul> <li>5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education </li></ul> <p>Desired Qualifications:</p> <ul> <li> <p>2+ years of in-depth knowledge of electronic trading market structure and related rules and regulations including those applicable to all securities and security futures traded on an exchange or alternative trading system such as SEC 15c3-5 Market Access Rule.</p> </li><li> <p>2+ years of experience working in a trading floor environment and providing real-time compliance guidance to the electronic trading business.</p> </li><li> <p>2+ years of knowledge and understanding of trading algorithms, smart order routing strategies, automated execution applications and electronic trading workflows.</p> </li><li> <p>Ability to develop electronic trading metrics and identification of key risk/performance metrics in the firms risk framework.</p> </li><li> <p>Excellent oral and written communication skills.</p> </li><li> <p>Must demonstrate flexibility, sound judgment, problem solving and analytical capabilities, and the ability to multi-task.</p> </li><li> <p>Ability to analyze complex regulations and clearly communicate regulatory guidance in a fast-paced environment to all levels of associates, including senior management.</p> </li><li> <p>Experience assessing the effectiveness of business processes, control framework and procedures, including electronic trading governance.</p> </li></ul> <p>Job Expectations:</p> <ul> <li> <p>In-office expectations are a minimum three days a week.</p> </li><li> <p>Ability to work independently and collaboratively within a team environment.</p> </li><li> <p>This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check</p> </li><li> <p>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</p> </li><li> <p>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</p> </li></ul> <p>Pay Range</p> <p>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.</p> <p>$133,300.00 - $237,100.00</p> <p>Benefits</p> <p>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.</p> <ul> <li>Health benefits </li><li>401(k) Plan </li><li>Paid time off </li><li>Disability benefits </li><li>Life insurance, critical illness insurance, and accident insurance </li><li>Parental leave </li><li>Critical caregiving leave </li><li>Discounts and savings </li><li>Commuter benefits </li><li>Tuition reimbursement </li><li>Scholarships for dependent children </li><li>Adoption reimbursement </li></ul> <p>Posting End Date:</p> <p>28 Apr 2025</p> <ul> <li>Job posting may come down early due to volume of applicants. </li></ul> <p>We Value Equal Opportunity</p> <p>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.</p> <p>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.</p> <p>Applicants with Disabilities</p> <p>To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.</p> <p>Drug and Alcohol Policy</p> <p>Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.</p> <p>Wells Fargo Recruitment and Hiring Requirements:</p> <p>a. Third-Party recordings are prohibited unless authorized by Wells Fargo.</p> <p>b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.</p>