Senior Compliance Specialist - CIB Cross Asset Team

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

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

• 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

• 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

• 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