Compliance Manager - Trade and Communication Surveillance

About this role:

Wells Fargo is seeking a Compliance Manager

In this role, you will:

• Manage a team responsible for establishing, implementing and maintaining 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

• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program

• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements

• Provide compliance risk and regulatory expertise for compliance program elements

• Recommend opportunities for process improvement and risk control development

• Manage coordination and communication with leadership regarding compliance risks

• Implement strategic initiatives with moderate risk and complexity

• Make decisions and resolve issues to meet business objectives

• Interpret policies, procedures, and compliance requirements

• Collaborate and influence all levels of professionals including managers

• Lead team to achieve objectives

• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics

• Manage allocation of people and financial resources for Compliance

• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

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

• 2+ years of Leadership experience

Desired Qualifications:

- Extensive experience in the review of trade surveillance alerts across market conduct / abuse behaviors as well as rules-based surveillance using surveillance applications (Actimize ActOne, Protegent Market Abuse, Protegent Trading Compliance and Trading Hub)

- Extensive experience in the review of Communication surveillance alerts (includes ecomm and audio) across market conduct / abuse behaviors as well as rules-based surveillance using various surveillance applications. Additionally, should have experience in Lexicon reviews for ecomm surveillance and audio surveillance.

- Experience with equity, foreign exchange, fixed income and other derivative products and market abuse behaviors

- Proficient knowledge of data sets for trading in equity, foreign exchange, fixed income and other derivative products and market abuse behaviors, including but not limited to quotes, orders and executions

- Knowledge of US Market Abuse or Manipulation Regulations and similar FCA MAR Behaviors

- Knowledge of SEC, FINRA market abuse rules and regulations and FCA MAR Behaviors

Job Expectations:

Wells Fargo is seeking a Compliance Manager in Corporate Investment Banking (CIB) Compliance. This role is for a manager who will have responsibilities and accountability for leading a team performing trade and communication surveillance in equity, foreign exchange, fixed income and other derivative products. There will be a strong focus on using newly on-boarded surveillance tools. The team manager will also be responsible for building or enhancing surveillance modules in surveillance systems. The ideal candidate should have previous experience in equity, foreign exchange, fixed income and other derivative products and market abuse behaviors. Understanding the movement and flows of trade data between systems (upstream and downstream) is important for success in this role. The candidate should also bring strong experience in analyzing and appropriately escalating market abuse alerts within communication surveillance. Primary focus will be on the review, research, escalation (if necessary) and dispositioning of trade and communication surveillance alerts (includes ecomm and audio surveillance) across of applications.

- Review, research and disposition market abuse and rule-based trade and communication surveillance alerts (includes ecomm and audio surveillance) across the equity, foreign exchange, fixed income and other derivative products.

- Manage a team responsible for establishing, implementing and maintaining 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

- Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program

- Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements

- Provide compliance risk and regulatory expertise for compliance program elements

- Recommend opportunities for process improvement and risk control development

- Manage coordination and communication with leadership regarding compliance risks

- Implement strategic initiatives with moderate risk and complexity

- Make decisions and resolve issues to meet business objectives

- Interpret policies, procedures, and compliance requirements

- Collaborate and influence all levels of professionals including managers

- Lead team to achieve objectives

- Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics

- Manage allocation of people and financial resources for Compliance

- Mentor and guide talent development of direct reports and assist in hiring talent

Posting End Date:

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, or 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), 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.

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.

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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.