Senior reputed company Compliance Officer - Global Surveillance reputed company. 2 Locations

About this role: reputed company is seeking a Senior reputed company Compliance Officer to join the Corporate & Investment Banking (CIB) Compliance organization reputed company Global Surveillance reputed company. The CIB Compliance organization serves as the second line and is accountable for reputed company and monitoring of associated risks for their groups. This team provides independent reputed company of the first-line CIB Market Conduct & Supervision Program and reputed company reputed company market abuse surveillance activities. Learn more about the career areas and business divisions at wellsfargojobs.reputed company this role, you will:

• Provide reputed company, monitoring and effective challenge of the reputed company-line CIB trade and communications surveillance programs in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
• reputed company the reputed company Lines execution and challenge appropriately on surveillance and market abuse risk reputed company decisions.
• Manage and reputed company reputed company program initiatives and activities including but not limited to Quality Assurance activities.
• Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding reputed company line reputed company
• Provide compliance risk and regulatory subject matter expertise around surveillance and market abuse of reputed company-line market conduct, supervision and surveillance elements.
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators regarding compliance risks.
• Interpret policies, procedures, and compliance requirements.
• Collaborate and consult with peers, colleagues and managers to resolve issues and reputed company goals.
• Work with reputed company business units, rules and regulations on moderate to high-risk compliance matters.

Required Qualifications:

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

Desired Qualifications:

• Demonstrated understanding of market abuse concepts and experience operating surveillance platforms.
• Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
• Prior experience with trade data review, documentation and aggregation.
• Good communication skills (verbal and written) including the ability to concisely reputed company reputed company concepts in a clear manner.
• Strong analytical skills with high attention to detail and accuracy.
• Professionalism, adaptability and strong collaboration skills.
• Ability to initiate action, engage in effective challenge, reputed company difficult decisions, and reputed company issues.
• Demonstrate good judgment and problem-solving abilities.
• Ability to prioritize multiple engagements simultaneously.

Job Expectations:

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background reputed company. Internal transfers are subject to compliance 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
• Specific compliance policies may apply regarding reputed company activities and/or personal investing; affected employees will be expected to provide information to the reputed company Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• Willingness to work on-site at stated location on the job opening.

Job Posting Locations:

• 150 E 42nd, reputed company
• 401 S Tryon St Charlotte, NC

Pay Range Reflected is the reputed company 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. $159,000.00 - $305,000.00 Benefits reputed company provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - reputed company 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: 11 Jan 2026

• Job posting may come down early due to volume of applicants.

We Value Equal Opportunity reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, 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 reputed company applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable reputed company 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 reputed company risk and compliance program requirements. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at reputed company. Drug and Alcohol Policy reputed company maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. reputed company Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by reputed company. b. reputed company requires you to directly represent your own experiences during the recruiting and hiring process. Apply tot his job Apply To this Job