About this role: Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate Risk as part of Commercial Banking - Market Coverage and Specialized Industries Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com. This team has regulatory compliance oversight for businesses that focus on commercial customers with revenues over $25 million. In this role, you will: Provide Independent Risk Management coverage of FINRA licensed bankers in Commercial Banking Liaise with Corporate and Investment Banking partners to ensure a consistent securities Compliance program across coverage areas Oversee, advise and provide independent credible challenge on the front line's compliance-related decisions Identify and recommend opportunities for process improvements and risk control development Provide leadership in Compliance oversight of the Risk and Control Self-Assessment (RCSA) program for securities risk Oversee the application of financial services regulations and policies to a broad range of activities at the Firm Provide Compliance coverage with respect to the securities program, including advisory on material non-public information (MNPI) issues as they directly relate to the Commercial Banking business strategy (i.e., reviewing documentation, chaperoning calls and advising on barriers) Conduct training for groups or employees related to securities coverage as appropriate Develop, implement, monitor and report on front line securities activities to identify, assess and mitigate any non-compliance with federal, state or agency law Work with complex business units, rules and regulations on moderate to high-risk compliance matters Provide direction to the business on developing corrective action plans and effectively managing regulatory change Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines Identify and recommend opportunities for process improvement and risk control development Make decisions and resolve issues to meet business objectives Interpret policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals 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: Expert knowledge and understanding of FINRA, SEC, FRB, OCC rules governing broker dealer and municipal advisor activity Knowledge and understanding of securities regulatory compliance, risk management, risk standards and controls Excellent verbal and written communication skills with the ability to effectively communicate guidance to all levels of bankers, from senior management to junior bankers Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals in a fast-paced environment Excellent analytical skills with great attention to detail and accuracy Experience conducting regulatory compliance surveillance Job Expectations: Ability to travel up to 5% of the time This position offers a hybrid work schedule 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. Posting End Date: 11 May 2024 *Job posting may come down early due to volume of applicants. We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. 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 US: 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. 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 & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 47 on Fortune’s 2023 rankings of America’s largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health, and a low-carbon economy News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories. 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