Wells Fargo

Manager

• Serve as the sales leader of the branch
• Acquiring, deepening and retaining customer relationships
• Leading, coaching, and developing a team
• Fostering an engaged, accountable culture
• Balancing growth objectives with operational risk management
• Participation in the Branch Manager Readiness Program

Branch Manager

Compliance

• 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.

Branch Manager

Senior Lead Compliance Officer – Structured Products Group