Lead Compliance Officer - Trade Surveillance Oversight

About This Role

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of the Trade Surveillance Oversight Team. This role will be responsible for providing oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities. The ideal candidate will have strong experience in Foreign Exchange (FX) Surveillance.

Required Qualifications

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Subject matter expertise and experience in Rates and Foreign Exchange (FX) Market Abuse (MAR) trade surveillance
• Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes
• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions
• Surveillance, testing or audit experience in a regulatory environment experience
• Experience in a financial services, audit, compliance or regulatory organization
• Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors
• Knowledge of FINRA, CFTC, NFA, FX Global Code
• Surveillance exposure in fixed income, derivatives, equities and futures asset
• Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience
• Strong leadership skills and strong analytical skills with high attention to detail and accuracy
• Able to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues
• Professionalism, adaptability and strong collaboration skills
• Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner
• Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations
• Demonstrate good judgment and problem-solving abilities

Desired Qualifications

Subject matter expertise and experience in Rates and Foreign Exchange (FX) Market Abuse (MAR) trade surveillance.

Job Expectations

• Ability to travel up to 10% of the time
• Required location listed below
• Relocation assistance is not available for this position
• This position is not eligible for VISA sponsorship

Benefits

• 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