About this role:

Wells Fargo is seeking a Compliance Director who will serve as the Global Head of Surveillance in Corporate Risk as part of Corporate & Investment Banking (CIB) Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com. As the Compliance Director, you will focus on the Corporate and Investment Banking businesses, monitoring activity across various asset classes including equities, fixed income, foreign exchange, and derivatives. This leadership role will drive strategic change and best practice across the group, set global priorities and coordinate global development. You will work closely with other areas of the business on strategic initiatives and emerging issues, and in particular, work with the technology team on various projects as the group looks to streamline a number of processes.

In this role, you will:

• Manage and lead team with the implementation of the companywide compliance program with high risk complexity

• Manage and develop the execution and challenges on compliance related decisions

• Direct and oversee complex regulatory environments including establishing standards

• Oversee the Front Line's execution and challenges appropriately on compliance related decisions

• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the companywide compliance program

• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements

• Recommend opportunities for process improvement and risk control development

• Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management

• Make decisions and resolve issues to meet business objectives

• Interpret policies, procedures, and compliance requirements

• Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics

• Lead team to achieve objectives

• Manage allocation of people and financial resources for Compliance

• Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications, US:

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

• 4 years of Management experience

Desired Qualifications:

• Extensive senior-level Trade Surveillance experience gained in a highly complex, global financial institution, with strong technical knowledge of compliance regulations and of the equity, fixed income, foreign exchange and derivatives markets

• Experience building, enhancing, and sustaining regulatory programs in an independent risk management, business, or enterprise function

• Working knowledge of monitoring activities executed by the independent risk management function, specifically 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 Policy

• Ability to quickly understand newly presented processes and concepts, strong analytical skills in order to analyze data, preparing written analysis and presenting analysis and recommendations to management 

• Exceptional collaboration with others, while initiating action, challenging others, making difficult decisions, generating creative solutions, achieving results, and accepting challenging assignments

• Exceptional communication skills verbal, written, and interpersonal with an ability to effectively communicate across all levels of the business, enterprise functions and Compliance

• Proven ability to build and lead high-performing teams, ensuring proper staffing and expertise, and manage the establishment of major compliance programs within a large and complex organization

• Expert knowledge of emerging surveillance technology and methodologies

Job Expectations:

• Ability to travel up to 10% 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.

Pay Range

Benefits

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

• 401(k) Plan
• Paid Time Off
• Parental Leave
• Critical Caregiving Leave
• Discounts and Savings
• Health Benefits
• 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 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.

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.