Wells Fargo
Senior Compliance Specialist - CIB Cross Asset Team
Wells Fargo, Charlotte, North Carolina, United States, 28245
About this role:
Wells Fargo is seeking a Senior Compliance Specialist in Corporate and Investment Banking (CIB) Compliance to support various topics within the Cross Asset Team. The Senior Compliance Specialist will be responsible for managing topics across regions and asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be assisting various CIB Compliance coverage teams, a CIB subject matter expert (SME), engaging the Front Line, and liaising with enterprise functions. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework. Learn more about the career areas and business divisions at wellsfargojobs.com.
In this role, you will:
Establish, implement, and maintain 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
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Provide compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line
Identify and recommend opportunities for process improvement and risk control development
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management appropriate committees
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 risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
1+ years of experience covering cross asset regulations (e.g., Volcker, Reg W), cross border, digital assets, crypto, product controls (e.g., trader mandates, transaction monitoring), disclosures, supervision, unauthorized trading (e.g., remote booking), data management, data domains, non-financial regulatory reporting, recordkeeping, artificial intelligence (AI), qualified financial contracts (QFC), preferably in a risk management capacity
1+ years of experience with investment banking, capital markets syndications, leveraged finance, global markets (FICC, Equities), preferably in a risk management capacity
1+ years of risk management experience within financial services industry, and familiar with framework and procedures for monitoring activities and risk appetite measurement executed by Risk Type and Business Aligned Oversight teams, designed to comply with the operational risk monitoring requirements of the Independent Monitoring, Testing, and Validation Policy, Operational Risk Program Policy, and Compliance Program Policy
Excellent verbal, written, and interpersonal communication skills
1+ years of experience working with Broker Dealers, and associated regulators (e.g., investment banking, financial markets, Broker-Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and securitization)
1+ years of experience in or with the Front Line in defining and executing supervisor responsibilities
Experience with change management, for example implementing a new regulation, policy, framework
1+ years of experience working within Compliance program infrastructure including regulatory requirements and associated risk management policy, procedures, and risk ratings
Ability to collaborate with Compliance program owners, business and support partners, and other teammates to solve business problems
Knowledge of generating, analyzing, and escalating key risk and performance indicators to drive process enhancements and strategic decision making
Job Expectations:
Must be willing to work on-site
This position offers a hybrid work schedule
This 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
Pay Range
Reflected 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.
$87,000.00 - $140,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) 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:
29 Sep 2025
*****
Job posting may come down early due to volume of applicants.
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.
Req Number:
R-493307
Wells Fargo is seeking a Senior Compliance Specialist in Corporate and Investment Banking (CIB) Compliance to support various topics within the Cross Asset Team. The Senior Compliance Specialist will be responsible for managing topics across regions and asset classes, while collaborating with stakeholders to ensure consistent oversight and challenge. You will be assisting various CIB Compliance coverage teams, a CIB subject matter expert (SME), engaging the Front Line, and liaising with enterprise functions. The role will be responsible for the successful completion of program activities, identifying emerging risks, and implementing enhancements to strengthen the CIB framework. Learn more about the career areas and business divisions at wellsfargojobs.com.
In this role, you will:
Establish, implement, and maintain 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
Provide oversight and monitoring of risk-based compliance programs
Develop and oversee standards
Provide subject matter expertise with comprehensive knowledge of business and functional area
Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Provide compliance risk expertise
Consult for projects and initiatives with moderate risk for a business line
Identify and recommend opportunities for process improvement and risk control development
Provide direction to the business on developing corrective action plans and effectively managing regulatory change
Report findings and make recommendations to management appropriate committees
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 risk compliance matters
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
1+ years of experience covering cross asset regulations (e.g., Volcker, Reg W), cross border, digital assets, crypto, product controls (e.g., trader mandates, transaction monitoring), disclosures, supervision, unauthorized trading (e.g., remote booking), data management, data domains, non-financial regulatory reporting, recordkeeping, artificial intelligence (AI), qualified financial contracts (QFC), preferably in a risk management capacity
1+ years of experience with investment banking, capital markets syndications, leveraged finance, global markets (FICC, Equities), preferably in a risk management capacity
1+ years of risk management experience within financial services industry, and familiar with framework and procedures for monitoring activities and risk appetite measurement executed by Risk Type and Business Aligned Oversight teams, designed to comply with the operational risk monitoring requirements of the Independent Monitoring, Testing, and Validation Policy, Operational Risk Program Policy, and Compliance Program Policy
Excellent verbal, written, and interpersonal communication skills
1+ years of experience working with Broker Dealers, and associated regulators (e.g., investment banking, financial markets, Broker-Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and securitization)
1+ years of experience in or with the Front Line in defining and executing supervisor responsibilities
Experience with change management, for example implementing a new regulation, policy, framework
1+ years of experience working within Compliance program infrastructure including regulatory requirements and associated risk management policy, procedures, and risk ratings
Ability to collaborate with Compliance program owners, business and support partners, and other teammates to solve business problems
Knowledge of generating, analyzing, and escalating key risk and performance indicators to drive process enhancements and strategic decision making
Job Expectations:
Must be willing to work on-site
This position offers a hybrid work schedule
This 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
Pay Range
Reflected 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.
$87,000.00 - $140,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) 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:
29 Sep 2025
*****
Job posting may come down early due to volume of applicants.
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.
Req Number:
R-493307