Senior Compliance Specialist - Trade Surveillance

About this role:

Wells Fargo is seeking a Senior Compliance Specialist

In this role, you will:

• 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 Lines execution and challenges appropriately on compliance related decisions
• Provide oversight and monitoring of risk-based compliance programs
• Develop and oversee standards
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
• Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Provide compliance risk expertise
• Consult for projects and initiatives with moderate risk for a business line
• Identify and recommend opportunities for process improvement and risk control development
• Provide direction to the business on developing corrective action plans and effectively managing regulatory change
• Report findings and make recommendations to management appropriate committees
• 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 risk compliance matters
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

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

Desired Qualifications:

• Deep knowledge of Personal Account Dealing (PAD) regulations and global market conduct rules, including FINRA, SEC, FCA, and other relevant frameworks.
• Experience in trade surveillance and alert investigation, with the ability to identify potential insider trading or policy breaches.
• Strong analytical and problem-solving skills, including proficiency in interpreting complex trading data and compliance systems.
• Excellent communication and documentation abilities to prepare clear investigation reports and liaise with internal stakeholders and regulators.
• Proficiency in compliance tools and systems (e.g., trade monitoring platforms, data analytics tools) and advanced Excel skills for data analysis.

Posting End Date:

We Value Equal Opportunity

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), which 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, and 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 units risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our 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.