Lead Compliance Officer | Corporate & Investment Banking Compliance

Wells Fargo • Charlotte, NC

1d • Hybrid

About The Position

Wells Fargo is seeking a Lead Compliance Officer within Corporate & Investment Banking (CIB) Compliance. The role provides ownership and oversight of broad compliance initiatives, governance activities, regulatory matters, reporting, and other responsibilities requiring centralized coordination across CIB Compliance. It leads obligations and initiatives that may not align directly with existing coverage teams but require dedicated accountability, governance, coordination, and execution.

The position currently offers a hybrid work schedule, with on-site work expected at the stated location: 550 S Tryon St, Charlotte, North Carolina 28202. The role is subject to FINRA background screening and ongoing regulatory requirements. It is not eligible for visa sponsorship. Policies regarding outside activities and personal investing may apply.

Requirements

• At least 5 years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education.
• Willingness to work on-site at the stated location.
• Successful completion and clearing of a FINRA background check; candidates must also meet ongoing regulatory requirements and report certain incidents.
• Ability to provide accurate information and supporting documentation for lawful employment and education verification.

Nice To Haves

• Strong knowledge of CIB products, business operations, and compliance risk management.
• Experience leading or coordinating compliance programs within a large, complex financial institution.
• Experience with policy governance, regulatory requirements, and regulatory guidance, including no-action letters, interpretive guidance, and exemptive relief.
• Experience establishing program governance, ownership, reporting, monitoring, and escalation processes.
• Experience working across multiple business lines, products, regions, or compliance programs.
• Ability to interpret complex regulatory or compliance requirements and translate them into clear actions and responsibilities.
• Experience identifying and resolving compliance gaps, unclear ownership, and emerging risks.
• Proven ability to lead cross-functional initiatives and collaborate effectively across Compliance, Legal, Risk, Audit, Regulatory Change, Front Line, and other stakeholders.
• Ability to influence stakeholders, build consensus, and provide effective challenge when appropriate.
• Strong analytical, critical-thinking, organizational, and problem-solving skills with attention to detail.
• Strong written and verbal communication skills, including preparing clear, executive-level materials and management reporting.
• Proficiency in Microsoft Word, PowerPoint, Excel, and related business tools.

Responsibilities

• Lead assigned compliance initiatives and special projects requiring dedicated ownership and cross-functional coordination.
• Coordinate the assessment, implementation, and ongoing monitoring of applicable no-action letters, regulatory guidance, interpretive relief, and related obligations.
• Support management reporting, governance forums, and strategic compliance initiatives.
• Identify activities with fragmented or evolving ownership and help establish clear, sustainable oversight and accountability.
• Coordinate and support the execution of enterprise, regulatory, and CIB Compliance initiatives involving multiple teams and stakeholders.
• Follow applicable Wells Fargo policies and procedures, fulfill risk and compliance obligations, and escalate and remediate issues in a timely and effective manner.
• Support proactive monitoring, governance, risk identification and escalation, and sound risk decisions consistent with risk appetite and program requirements.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed