Senior Lead Compliance Officer – Structured Products Group

Wells Fargo

. Serve as a subject matter expert on regulatory requirements impacting SPG, including Regulation AB, Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules.

Posted 5/13/2026full-timeCharlotte • New York, North Carolina • 🇺🇸 United StatesSenior💰 $159,000 - $305,000 per yearWebsite

About the role

Key responsibilities & impact

Serve as a subject matter expert on regulatory requirements impacting SPG, including Regulation AB, Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules.
Execute and support day-to-day compliance activities related to Structured Products origination, syndication, and lending, serving as a primary compliance resource for SPG.
Provide compliance advisory support for ABS issuance, syndication, and lending activities, including responding to stakeholder inquiries and issue escalation.
Oversee and challenge Front Line execution of the SPG compliance program, ensuring adherence to regulatory requirements and internal policies.
Develop, implement, and monitor risk-based compliance programs, controls, and initiatives aligned to the SPG mandate.
Provide regulatory compliance risk expertise for high-risk projects, new products, and business initiatives.
Conduct compliance risk assessments and support regulatory exams, audits, and inquiries.
Monitor and assess regulatory developments, industry practices, and emerging risks, evaluating their impact on SPG activities and internal policies.
Support regulatory change management, including corrective action planning and execution tracking.
Prepare and deliver management-ready communications and reporting on compliance issues, risks, and activities.
Design and deliver targeted compliance training and awareness for SPG stakeholders.
Assess employee licensing and registration requirements and ensure ongoing compliance.

Requirements

What you’ll need

7+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education
Advanced degree or professional certification (e.g., JD, CRCM)
Strong expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer, ABS, and capital markets activities.
Experience with Fixed Income and Structured Products compliance programs.
Familiarity with traditional lending regulations (e.g., Reg B, FCRA, UDAAP, SCRA, Reg W, Reg O, FDPA)
Knowledge of CFPB and consumer lending regulatory frameworks.
Proven experience drafting policies and procedures and delivering compliance training.
Strong communication, analytical, and problem-solving skills, with the ability to produce executive-ready materials.
Demonstrated ability to manage multiple priorities in a fast-paced environment.
Ability to work independently and collaboratively in a team-oriented setting.

Benefits

Comp & perks

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

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

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

Hard Skills & Tools

compliance risk assessmentsregulatory compliancerisk-based compliance programspolicy draftingcompliance trainingStructured Products complianceFixed Income complianceregulatory change managementregulatory examsissue escalation

Soft Skills

strong communicationanalytical skillsproblem-solving skillsability to manage multiple prioritiesindependent workcollaborative teamworkexecutive-ready materials preparationstakeholder engagementtraining deliveryissue management

Certifications

JDCRCM