Lead Compliance Officer – PAD

Wells Fargo

Lead Compliance Officer managing compliance control framework for the Personal Account Dealing program at Wells Fargo. Collaborating with cross-functional teams to address risks and ensure compliance.

Posted 5/30/2026full-timeCharlotte • Iowa, Montana, North Carolina • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Report to the Global Head of Personal Account Dealing and collaborate across PAD and ECO functions.
Maintain an accurate PAD subject population and related coverage by overseeing the attributes and logic that support PAD controls and system outcomes, including annual attestation and trade restriction controls.
Lead enhancements to PAD applications and processes, including annual attestation, PAD onboarding, and post-trade review, by partnering with Technology and stakeholders to turn control needs into clear requirements and sustainable solutions.
Lead the annual attestation process for PAD-covered employees, including communications, tracking, and risk-based escalation.
Support quarterly WFC Trade Freeze population verification and employee notification activities to help ensure restrictions are applied correctly and controls remain effective.
Serve as a Managerial Oversight Activity delegate for key PAD processes, with responsibility for appropriate governance, controls, and issue management.
Communicate complex and sensitive compliance matters with professionalism, sound judgment, and tact, including direct engagement with senior executives and Operating Committee members.
Provide coaching and support to PAD Team peers to ensure consistency and knowledge sharing.
Develop and maintain internal documentation, including emails, FAQs, training materials, and guidance, to support clear, consistent, and professional communication.
Collaborate with peers, managers, and business partners to resolve issues and achieve business objectives.
Identify and recommend opportunities to strengthen processes and enhance risk controls.
Exercise independent judgment while developing expertise in function-specific policies and compliance requirements.
Maintain strong partnerships with line-of-business Compliance, Front Line, Legal, and Control teams.

Requirements

What you’ll need

5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Must possess or obtain the SIE and FINRA Series 7 or 79 securities license within 12 months of accepting the role.
Familiarity with Personal Account Dealing and Information Barrier programs and controls.
Proven track record supporting audits, regulatory exams, and control testing, including preparation of clear documentation, evidence packages, and sustainable remediation plans.
Experience engaging directly with senior executives.
Strong ability to navigate a large, matrixed organization, including building partnerships across lines of business and corporate functions to drive timely decisions and outcomes.
Demonstrated experience managing subject population governance (inclusion/exclusion logic, ongoing maintenance, and change control) for a compliance program or enterprise control.
Proven ability to work independently, solve complex problems, and bring issues and projects to closure with clear ownership and follow-through in a fast-moving environment.
Ability to interpret policy and regulatory requirements and translate them into practical, well-controlled processes supported by clear decision-making and documentation standards.
Experience supporting application governance, product ownership, or business-led change management for compliance tools or workflow platforms, including requirements, testing, and rollout.
Exceptional written judgment and messaging discipline for sensitive employee communications and executive-facing updates.
Strong presentation skills with the ability to communicate complex requirements clearly and professionally.
Advanced Microsoft 365 Copilot skills, including strong prompt writing, and development of executive-ready summaries, communications, and presentation materials.
Strong analytical, organizational, and communication skills, with the ability to prioritize effectively, meet deadlines, and maintain a high level of attention to detail in a dynamic environment.
High level of integrity and discretion in handling confidential information.
Bachelor’s degree or higher in business, law, accounting, finance, economics, or a related field.

Benefits

Comp & perks

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 CRF 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.

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Hard Skills & Tools

Compliance experiencePersonal Account DealingInformation Barrier programsAudit supportRegulatory examsControl testingApplication governanceBusiness-led change managementPolicy interpretationDocumentation standards

Soft Skills

Problem-solvingIndependent judgmentCommunicationPresentation skillsOrganizational skillsAttention to detailProfessionalismCoachingCollaborationDiscretion

Certifications

SIEFINRA Series 7FINRA Series 79