Compliance Manager - Trade Surveillance Oversight

About this role:

Wells Fargo is seeking a Compliance Manager in Corporate & Investment Banking Compliance as part of Compliance Surveillance. Learn more about the career areas and business divisions at wellsfargojobs.com . Compliance Surveillance is an independent risk management function responsible for establishing requirements and providing independent assessment of, and challenge to, front line management of market conduct risks.

The Compliance Manager will lead a team that is responsible for independent oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities including risk-based Analyst Competency reviews, alert parameter testing, risk assessments and monitoring of trends and patterns.

In this role, you will:

• Manage and develop a team responsible for establishing, implementing and maintaining a global trade surveillance oversight program to ensure the appropriate handling trade surveillance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
• Oversee the Front Line's execution of the trade surveillance program and challenge appropriately on surveillance and market abuse risk related decisions.
• Identify opportunities for process improvement and development of the oversight program.
• 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 enterprise compliance program.
• Provide compliance risk and regulatory subject matter expertise around surveillance and market abuse of front-line market conduct, supervision and surveillance elements.
• Provide compliance risk and regulatory expertise for compliance program elements.
• Manage coordination and communication with leadership regarding compliance risks.
• Make decisions and resolve issues to meet business objectives.
• Interpret policies, procedures, and compliance requirements.
• Collaborate and influence all levels of professionals including managers.
• Lead team to achieve objectives.
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics.
• Mentor and guide talent development of direct reports.

Required Qualifications:

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

• 2 years of Leadership experience

Desired Qualifications:

• Demonstrated understanding of market abuse concepts and experience operating surveillance platforms.
• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
• Prior experience with trade data review, documentation and aggregation.
• Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
• Strong analytical skills with high attention to detail and accuracy.
• Professionalism, adaptability and strong collaboration skills.
• Ability to initiate action, engage in effective challenge, make difficult decisions, and raise issues.
• Demonstrate good judgment and problem-solving abilities.

• Ability to prioritize multiple engagements simultaneously.

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• This position offers a hybrid work schedule
• This position is not eligible for VISA sponsorship
• Job posting may come down early due to volume of applicants.

Job posting Locations:

• 401 S Tryon St Charlotte, NC
• 600 S 4th St, Minneapolis, MN
• 114 N Beaumont St - D Bldg. St. Louis, MO # 145743
• 800 S Jordan Creek Pkwy, West Des Moines, IA #150496
• 1150 W Washington St., Tempe, AZ
• 250 E John Carpenter Frwy, IRVING, TX

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.
$111,100.00 - $197,500.00
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 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

Posting End Date:
23 Aug 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.

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.