Senior Compliance Specialist

Wells Fargo & Company•Charlotte, NC

1d•Hybrid

About The Position

Wells Fargo is seeking a Senior Compliance Specialist to join the Corporate & Investment Banking (CIB) Compliance 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 Senior Compliance Specialist will serve as a key contributor to the Communications Surveillance Oversight team, operating with a high degree of independence while supporting Lead Compliance Officers and Senior Compliance Managers on surveillance reviews, issue identification, and program enhancements.

Requirements

4+ 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.
Understanding of communications‑based conduct risks, including market abuse, insider information, competition law, and market conduct breaches.
Familiarity with global regulatory frameworks relevant to communications surveillance, such as MAR, MiFID II, and applicable US regulatory expectations.
Experience reviewing surveillance alerts, investigations, or quality assurance outcomes.
Exposure to communications surveillance platforms and alert review workflows.
Ability to perform independent analysis and raise issues with appropriate supporting rationale.
Experience supporting audits, regulatory examinations, or compliance testing activities.
Familiarity with the use of advanced analytics, automation, or artificial intelligence in surveillance, including awareness of governance and human oversight considerations.
Strong analytical and problem‑solving skills with high attention to detail.
Clear and concise written and verbal communication skills.
Professionalism, adaptability, and ability to manage multiple priorities in a regulated environment.

Responsibilities

Execute independent, risk‑based oversight of the front line’s Communications Surveillance Program, including email, voice, and other electronic communications monitoring.
Perform detailed reviews of surveillance alerts, investigative outcomes, and escalation decisions to assess consistency with regulatory expectations and internal standards.
Conduct targeted or thematic deep‑dive reviews to identify potential compliance and conduct risks, including market abuse, misuse of information, inappropriate communications, and supervision gaps.
Assess the effectiveness of surveillance coverage, alert logic, escalation frameworks, and documentation practices.
Support review and challenge of front‑line governance, procedures, and operating practices related to communications surveillance.
Assist in identifying surveillance coverage gaps, emerging risks, and enhancement opportunities.
Support preparation of surveillance oversight metrics, management information (MI), and materials for 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 remediation actions.
Partner with Compliance, Technology, and data teams to support assessments of surveillance data quality, logic design, and analytical enhancements.
Contribute to the development and maintenance of communications surveillance policies, procedures, and oversight documentation.
Exercise sound judgment and independence while operating within established oversight frameworks and escalation protocols.