Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk for the Trade Surveillance Oversight Team. This role will oversee front-line Market Conduct & Supervision Program market abuse monitoring activities, with a focus on Foreign Exchange (FX) Surveillance.

Responsibilities

• 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 high-risk projects and initiatives across 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.

Requirements

• 5+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, or education.
• 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 the creation, enhancement, and testing of surveillance modules for 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 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 assets.
• Prior experience with trade data and parameter reviews, regression testing, documentation, and aggregation.
• Strong leadership skills.
• 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 clearly.
• Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
• Demonstrate good judgment and problem-solving abilities.
• Ability to travel up to 10% of the time.
• Must successfully complete and clear a background check, including FINRA Background Screening Requirements.
• Must comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3 regarding statutory disqualification.
• Must meet ongoing regulatory requirements, including additional screening and reporting of certain incidents.
• Must provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements regarding outside activities and/or personal investing.

Skills

• Foreign Exchange (FX) Surveillance
• Market Abuse Monitoring
• Trade Surveillance
• Rates and Foreign Exchange (FX) Market Abuse (MAR) trade surveillance
• Surveillance platforms
• Trading Hub
• Actimize ActOne
• Protegent
• Catalyst
• GMI
• US Market Abuse or Manipulation Regulations
• FCA MAR Behaviors
• FINRA
• CFTC
• NFA
• FX Global Code
• Fixed income surveillance
• Derivatives surveillance
• Equities surveillance
• Futures surveillance
• Trade data analysis
• Parameter reviews
• Regression testing
• Documentation
• Aggregation
• Leadership
• Analytical skills
• Attention to detail
• Accuracy
• Prioritization
• Decision making
• Problem-solving
• Collaboration
• Communication (verbal and written)
• Microsoft Office

Location

• 150 E 42nd St. – New York, NY

Work Type

• Onsite

Experience Level

• Lead
• 5+ years of Compliance experience

Salary/Compensations

• $143,000.00 - $224,000.00

Benefits

• 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

About the Company

• Wells Fargo is an equal opportunity employer.
• 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 unit’s risk appetite and all risk and compliance program requirements.
• Wells Fargo maintains a drug free workplace.

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, or any other legally protected characteristic.
• To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.