Senior Compliance Specialist - CIB Trade Surveillance

Responsibilities

• Establish, implement, and maintain risk standards and programs to ensure compliance with federal, state, agency, legal, and regulatory requirements.
• Oversee the Front Line's execution and provide appropriate challenges on compliance-related decisions.
• Provide oversight and monitoring of risk-based compliance programs and develop organizational standards.
• Act as a subject matter expert providing compliance risk expertise and consulting for projects and initiatives.
• Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters.
• Direct the business on developing corrective action plans and managing regulatory changes effectively.
• Identify and recommend opportunities for process improvement and risk control development.
• Interpret complex policies, procedures, and compliance requirements for various business units.

Requirements

• 4+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, or education.

Preferred Qualifications

• Experience in Trade Surveillance specifically related to Equities, Debt, FX, and Fixed Income (FI) products.

About the Company

Wells Fargo & Company (NYSE: WFC) is a leading financial services company with approximately $2.1 trillion in assets. We provide a diversified set of banking, investment, and mortgage products and services through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management.