Senior Lead Compliance Officer – Global Surveillance Oversight

Wells Fargo

full-time

Posted on: 1/8/2026

Location Type: Hybrid

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💰 $159,000 - $305,000 per year

About the role

Provide oversight, monitoring and effective challenge of the front-line CIB trade and communications surveillance programs in line with federal, state, agency, legal, regulatory and Corporate Policy requirements
Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions
Manage and develop oversight 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 front line oversight
Provide compliance risk and regulatory subject matter expertise around surveillance and market abuse of front-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 achieve goals
Work with complex business units, rules and regulations on moderate to high-risk compliance matters

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
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 articulate complex 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, make difficult decisions, and raise issues
Demonstrate good judgment and problem-solving abilities
Ability to prioritize multiple engagements simultaneously

Benefits

Tip: use these terms in your resume and cover letter to boost ATS matches.

compliancesurveillancemarket abusequality assurancetrade data reviewdocumentationaggregationanalytical skillsproblem-solving

communicationcollaborationprofessionalismadaptabilityattention to detailjudgmentprioritizationinitiativedecision-making