Lead Compliance Officer
: Job Details :

About this role: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 programsMaintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business linesEstablish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirementsOversee the Front Line's execution and challenges appropriately on compliance related decisionsDevelop, oversee, and provide independent credible challenge to standards with subject matter expertiseProvide direction to the business on developing corrective action plans and effectively managing regulatory changeReport findings and make recommendations to management and appropriate committeesIdentify and recommend opportunities for process improvement and risk control developmentReceive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsMonitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk managementOversee the Front Line's execution and challenges appropriately on compliance related decisionsMake decisions and resolve issues to meet business objectivesInterpret policies, procedures, and compliance requirementsCollaborate and consult with peers, colleagues and managers to resolve issues and achieve goalsWork with complex business units, rules and regulations on moderate to high risk compliance mattersInterface with Audit, Legal, external agencies, and regulatory bodies on risk related topicsRequired Qualifications:5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationDesired Qualifications:3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance, legal, or regulatoryKnowledge and understanding of MSRB, FINRA, and SEC rules and regulationsFINRA 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 dateAdvanced Microsoft Office SkillsAbility to prepare presentations and senior management reporting while analyzing data and making meaningful conclusionsAbility to interact with integrity and a high level of professionalism with all levels of an organizationExcellent 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 environmentA BS/BA degree or higherJob Expectations:This position offers a hybrid work scheduleWillingness to work on-site at stated location on the job openingThis position is not eligible for VISA sponsorshipThis 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.Pay RangeReflected 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 - $237,100.00Benefits 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 benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursementPosting End Date:22 Sep 2024*Job posting may come down early due to volume of applicants.We Value DiversityAt Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.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 US: 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.Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy 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.SummaryLocation: CHARLOTTE, NC; NEW YORK, NYType: Full time