Wells Fargo

Lead Compliance Officer - Trade Surveillance Oversight

Wells Fargo • $143K — $224K *
New York, NY 10025In-Person
Finance & Insurance
5 - 7 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • 5+ years of Compliance experience in regulatory environments.
  • Expertise in Foreign Exchange (FX) surveillance and market abuse monitoring.
  • Understanding of Corporate and Investment Banking operations and risk.
  • Strong leadership and analytical skills with detail orientation.
  • Proficiency in Microsoft Office for senior management presentations.

Responsibilities

  • Oversee front-line market abuse monitoring activities.
  • Challenge and enhance surveillance risk decisions made by the Front Line.
  • Develop and present oversight materials to senior management.
  • Monitor escalation and remediation of compliance issues and deficiencies.
  • Provide regulatory compliance expertise for high-risk projects across business lines.
  • Collaborate with teams to resolve compliance-related challenges.
  • Interpret and enforce compliance policies and regulatory requirements.

Benefits

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life and accident insurance
  • Parental and critical caregiving leave
  • Tuition reimbursement and scholarships for dependents
  • Adoption reimbursement
Full Job Description
About this role:

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of the Trade Surveillance Oversight Team. This role will be responsible for providing oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities. The ideal candidate will have strong experience in Foreign Exchange (FX) Surveillance. Learn more about the career areas and business divisions at wellsfargojobs.com.

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.
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
  • Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
  • Develop, oversee, and 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, or 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


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, and 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.

About Wells Fargo

Wells Fargo Careers

Joining Wells Fargo means becoming part of a distinguished financial institution that has been a cornerstone of innovation and leadership in the banking industry. At Wells Fargo, we offer a plethora of job opportunities designed to empower your career growth and development in a diverse and inclusive environment.

Work You’ll Do

At Wells Fargo, you will be part of a team that values diversity and is committed to fostering an inclusive culture. We are looking for professionals who are eager to drive innovation and lead with integrity. Our employees are our greatest asset, and we invest in their professional growth through comprehensive leadership and diversity training programs that are recognized industry-wide.

Explore a Multitude of Career Paths

Whether you're interested in a position in finance, IT, customer service, or management, Wells Fargo has career opportunities in various fields. Our team members benefit from job stability, competitive benefits, and a culture that values and rewards performance and dedication.

Internship Programs

Kickstart your career with a Wells Fargo internship. Our programs provide invaluable industry exposure, professional skills development, and networking opportunities that often lead to full-time employment offers. Interns at Wells Fargo work on real projects, solve actual challenges, and gain the mentorship of seasoned professionals.

Professional Growth and Development

We believe in nurturing the potential of our employees. Wells Fargo offers robust training programs and resources to help every team member excel in their current roles and prepare for future challenges. Growth at Wells Fargo is not just about climbing the career ladder but expanding your skills and expertise to add value to our team and customers.

Benefits and Rewards

Wells Fargo is committed to the well-being of our team members. We offer a comprehensive benefits package that includes health care, retirement plans, and generous paid time off. Additionally, we provide unique perks like employee discounts, adoption assistance, and tuition reimbursement.

Join Our Team

Discover the opportunities waiting for you at Wells Fargo by exploring open positions that match your skills and interests. We are continuously hiring and looking for individuals who bring creativity, passion, and a drive to serve our customers.

Stay Connected

Keep up to date with the latest from Wells Fargo Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and get insider tips on crafting the perfect resume and acing your interview.

Networking and Innovation

At Wells Fargo, networking and innovation go hand in hand. We encourage our employees to connect across departments and roles to foster new ideas and strategies that lead to groundbreaking solutions.

Empower Your Career

Step into a role at Wells Fargo where your skills will be honed, your achievements recognized, and your career can flourish. We're not just filling positions; we're building leaders who are equipped to navigate the complexities of the financial world. Join Wells Fargo today and be part of a team that’s redefining the future of banking.
Learn more about Wells Fargo
Size
246,577 employees
Market Cap
$155.2 billion
Industry
Finance & Insurance
Net Income
$3.3 billion
Founded
1852
5 Year Trend
-5.9%
NASDAQ
WFC
* Ladders Estimates

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