Senior Lead Compliance Officer - Bank / Broker-Dealer Control Room

Wells Fargo Bank•Tempe, AZ

9h•Onsite

About The Position

Wells Fargo is seeking a highly experienced Senior Lead Compliance Officer to operate at the Executive Director level within the Control Room function. This role will serve as a key subject matter expert responsible for overseeing and enhancing compliance frameworks related to information barriers, insider trading prevention, and material non-public information (MNPI) governance across the enterprise. The successful candidate will partner closely with Investment Banking, Lending Lines of Business, Sales & Trading, Research, and Legal teams to ensure robust control of room operations and adherence to regulatory expectations.

Requirements

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Deep expertise in insider trading regulations and information barriers
Experience managing watch lists, restricted lists, and insider lists
Juris Doctor (JD) or advanced degree
FINRA Series 7, 79 or willingness to obtain within 12 months
Experience working with senior leadership and regulators

Nice To Haves

8+ years’ experience in a bank or broker-dealer Control Room function

Responsibilities

Maintain and oversee Watch List, Restricted List, and Persistent Insider List
Facilitate and approve information barrier crossings
Maintain inventory of public vs. private information designations
Provide guidance on information-sharing requests and MNPI implications
Deliver clearance reviews for Equity Research
Develop and deliver training on insider trading and information barriers
Collaborate with Legal, Surveillance, and Compliance partners
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Work with complex business units, rules and regulations on moderate to high risk compliance matters
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics