Lead Compliance Officer

at  Wells Fargo

PAY RANGE

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$111,100.00 - $237,100.00

APPLICANTS WITH DISABILITIES

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

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

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educatio

Desired Qualifications:

• 3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance, legal, or regulatory
• Knowledge and understanding of MSRB, FINRA, and SEC rules and regulations
• FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 52, FINRA Series 53, FINRA recognized equivalents, or willingness to obtain within 1 year of hire date
• Advanced Microsoft Office Skills
• Ability to prepare presentations and senior management reporting while analyzing data and making meaningful conclusions
• Ability to interact with integrity and a high level of professionalism with all levels of an organization
• Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• A BS/BA degree or highe

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Corporate & Investment Banking (CIB) Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com . This Lead Compliance Officer will conduct monitoring activities of the front line of Municipal Products Group (MPG) for compliance with MSRB, FINRA, and SEC rules.

In this role, you will:

• Provide oversight and monitoring of business group risk-based compliance programs
• Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management and appropriate committees
• Identify and recommend opportunities for process improvement and risk control development
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• 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
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance, legal, or regulatory
• Knowledge and understanding of MSRB, FINRA, and SEC rules and regulations
• FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 52, FINRA Series 53, FINRA recognized equivalents, or willingness to obtain within 1 year of hire date
• Advanced Microsoft Office Skills
• Ability to prepare presentations and senior management reporting while analyzing data and making meaningful conclusions
• Ability to interact with integrity and a high level of professionalism with all levels of an organization
• Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• A BS/BA degree or higher

Job Expectations:

• This position offers a hybrid work schedule
• Willingness to work on-site at stated location on the job opening
• This position is not eligible for VISA sponsorship
• 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, which 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.