Lead Compliance Officer

Wells Fargo & Company•Charlotte, NC

23h•Hybrid

About The Position

Wells Fargo is seeking a Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Compliance team to support the Global Surveillance Oversight program. Global Surveillance Oversight is an independent risk management function responsible for independent oversight, challenge, and subject matter expertise over front‑line communications surveillance activities designed to identify, prevent, and mitigate market conduct and other compliance risks arising from communications. The Lead Compliance Officer will play a critical role in executing risk‑based oversight, conducting deep‑dive reviews, and supporting enhancements to communications surveillance program including governance, analytics, escalation frameworks, data quality and issue management.

Requirements

5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

Nice To Haves

Experience performing or overseeing communications surveillance in a financial services environment.
Strong understanding of communications‑based conduct risks, including market abuse, insider information, competition law, and market conduct breaches.
Knowledge of global regulatory frameworks relevant to communications surveillance, such as MAR, MiFID II, and applicable US regulatory expectations.
Experience conducting investigations, thematic reviews, or quality assurance over surveillance activities.
Familiarity with communications surveillance platforms, analytics, and alert review workflows.
Experience engaging with or providing support to senior Compliance management on escalation‑worthy matters.
Exposure to the use of advanced analytics, automation, or artificial intelligence in communications surveillance, including awareness of governance and human oversight expectations.
Strong analytical skills with high attention to detail and sound judgment.
Excellent written and verbal communication skills, with the ability to clearly articulate findings and risks.
Professionalism, adaptability, and strong collaboration skills in a fast‑paced, highly regulated environment.
Ability to manage multiple priorities and work independently on moderate‑to‑high risk matters.
Experience overseeing or assessing the use of advanced analytics, automation, or artificial intelligence tools within surveillance or compliance programs, including governance, model risk considerations, explain-ability, and regulatory expectations.

Responsibilities

Provide independent oversight and challenge of the front line’s Communications Surveillance Program, including email, voice, and other electronic communications monitoring.
Act as a subject matter expert on communications surveillance risks, typologies, and regulatory expectations, supporting escalation and risk assessment activities.
Perform deep‑dive reviews and investigations into potential compliance and conduct risks identified through surveillance alerts, inquiries, or thematic reviews.
Assess the design and effectiveness of surveillance coverage for key conduct risks, including market abuse, misuse of information, inappropriate communications, and supervision gaps.
Review and challenge front‑line surveillance governance, procedures, escalation frameworks, and decision‑making, including risk acceptance and remediation plans.
Support oversight of alert review quality, investigative standards, documentation, and issue handling.
Contribute to the identification of surveillance coverage gaps, emerging risks, and enhancement opportunities.
Provide input into communications surveillance metrics, management reporting, and materials presented to senior management and governance committees.
Interpret and apply applicable laws, regulations, and internal policies related to communications surveillance, supervision, and recordkeeping.
Support Regulatory Compliance Testing, Internal Audit, and regulatory inquiries, including review of findings and corrective action plans.
Collaborate with Technology and data partners to assess surveillance data quality, logic design, and tool enhancements.
Maintain effective working relationships with front‑line businesses, Compliance partners, Legal, Audit, and other control functions.
Exercise independent judgment while operating within established oversight frameworks and escalation protocols.