Lead Compliance Officer | Equities Trading Compliance

Wells Fargo•New York, NY

3d•$143,000 - $224,000•Hybrid

About The Position

Wells Fargo is seeking a Lead Compliance Officer to play a critical role within the Corporate & Investment Banking (CIB) Markets Compliance team. Reporting to the Head of Equities Compliance, this position offers the opportunity to influence business strategy, navigate complex regulatory requirements, and provide compliance oversight across the Equities business. Operating at the intersection of risk management, regulatory reporting, and front-office advisory, this role helps maintain a strong and effective compliance framework within a dynamic trading environment.

Requirements

5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
2+ years of experience supporting compliance with Consolidated Audit Trail (CAT) reporting.

Nice To Haves

In-depth knowledge of transaction reporting rules and technical requirements for LOPR, EBS, TRF, TRACE, and SDR.
Working knowledge of equity cash and derivatives products, including applicable rules and regulations.
Experience working in a trading floor environment and providing real-time compliance guidance to the business.
Working knowledge of the Risk and Control Self-Assessment (RCSA) process.
Excellent verbal and written communication skills.
Demonstrated flexibility, sound judgment, analytical thinking, problem-solving capabilities, and the ability to manage multiple priorities.
Ability to clearly communicate regulatory guidance to stakeholders at all levels, including senior management, in a fast-paced environment.
Ability to analyze and interpret complex regulations and transactions.

Responsibilities

Provide oversight and monitoring of risk-based compliance programs supporting the Equities business.
Serve as a trusted compliance advisor on business initiatives, regulatory matters, and activities involving moderate to high levels of risk.
Act as the primary compliance liaison for trade and transaction regulatory reporting activities, including CAT, EBS, LOPR, TRF, TRACE, and SDR reporting.
Execute oversight and monitoring activities related to regulatory reporting governance, controls, and reporting processes, providing effective second-line challenge to the Front Line.
Establish and maintain compliance risk standards, controls, and programs to support adherence to applicable laws, regulations, and corporate policies.
Monitor the identification, escalation, and timely remediation of compliance issues, regulatory matters, and control deficiencies.
Advise business partners on regulatory developments, compliance requirements, and corrective action plans.
Lead compliance risk assessments, metrics, reporting, and governance activities, including presenting findings and recommendations to management and governance committees.
Partner with Audit, Legal, Risk, and regulatory agencies on compliance-related matters.
Provide compliance advisory coverage to Equities sales and trading businesses and support execution of the Equities Compliance Program, including maintenance of the compliance risk management framework.