Lead Compliance Officer - Trade Surveillance Oversight

In This Role, You Will

• Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
• Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
• provide independent credible challenge to standards with subject matter expertise Monitor and independently challenge the reporting, escalation
• timely remediation of issues, deficiencies or regulatory matters regarding front line oversight Develop, oversee
• provide expert business and regulatory compliance functional knowledge.
• Develop and present Oversight program materials to senior management.
• Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
• Make decisions and resolve issues to meet business objectives.
• Interpret policies, procedures, and compliance requirements.
• 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.
• Required Qualifications: 5+ years of Compliance experience
• equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Subject matter expertise and experience in Rates and Foreign Exchange (FX) Market Abuse (MAR) trade surveillance.
• Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
• Proven track record of improving processes and enhancing surveillance applications (Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI) Surveillance, testing or audit experience in a regulatory environment experience Experience in a financial services, audit, compliance or regulatory organization Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors Knowledge of FINRA, CFTC, NFA, FX Global Code Surveillance exposure in fixed income, derivatives, equities and futures asset Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience.
• Strong leadership skills and strong analytical skills with high attention to detail and accuracy.
• Ability to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues.
• Professionalism, adaptability and strong collaboration skills.
• Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
• Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
• Demonstrate good judgment and problem-solving abilities.
• Job Expectations: Ability to travel up to 10% of the time.
• Required location listed below.
• Relocation assistance is not available for this position This position is not eligible for VISA sponsorship.
• Posting Location: 150 E 42nd St. – New York, NY This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
• Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3
• states that Associated Persons should not be subject to statutory disqualification.
• Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing
• affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired.
• Information will be shared about expectations during the recruitment process.
• Pay Range Reflected is the base pay range offered for this position.
• Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location.
• Employees may also be eligible for incentive opportunities. $143,000.00 - $224,000.00 Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below.
• Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
• Health benefits 401(k) Plan Paid time off Disability benefits Life insurance, critical illness insurance
• accident insurance Parental leave Critical caregiving leave Discounts and savings Commuter benefits Tuition reimbursement Scholarships for dependent children Adoption reimbursement Posting End Date: 1 Aug 2026 * Job posting may come down early due to volume of applicants.
• We Value Equal Opportunity Wells Fargo is an equal opportunity employer.
• All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran
• any other legally protected characteristic.
• Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
• They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance)
• includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues
• making sound risk decisions.
• There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.
• Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
• Drug and Alcohol Policy Wells Fargo maintains a drug free workplace.
• Please see our Drug and Alcohol Policy to learn more.
• Wells Fargo Recruitment and Hiring Requirements: a.
• Third-Party recordings are prohibited unless authorized by Wells Fargo. b.
• Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.