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Wells Fargo Senior Compliance Specialist Trade Surveillance United States, North Carolina, Charlotte 269156942
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About this role:
The Sr. Compliance Specialist is responsible for monitoring the flow of material nonpublic information and preventing/detecting insider trading using an information barrier program, a key component of which is trade surveillance. The Enterprise Compliance Control Group surveillance team is tasked with monitoring employee, and institutional trading activity within the Corporate and Investment Bank, as well as retail client and discretionary trading activity within Wealth and Investment Management to identify any suspicious activity associated with trading on material non-public information for issuers on the firm’s Watch List or for compliance with the firm’s Restricted List policies. Additionally, a responsibility of this role is to assist in the execution of the team’s technology book of work associated with the trade surveillance platform.
In this role, you will:
Conducting Retail information barrier trade surveillance for customer and employee activity.
Review, research and disposition market abuse and rule-based trade surveillance alerts across different asset classes.
Investigate and escalate suspicious trading activity while maintaining thorough documentation of findings.
Monitoring the flow of material nonpublic information (MNPI) to detect potential breaches of the firm's Information Barrier Policy, restricted list, and insider trading.
Assist in regulatory inquiries, audits, and examinations by preparing reports and documentation.
Provide oversight and monitoring of risk-based compliance programs.
Make decisions and resolve issues to meet compliance surveillance objectives.
Support the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
Evaluate potential exceptions based on securities laws, regulations, and internal policy.
Participating in the design and implementation of surveillance tools, monitoring processes and strategies to manage Information Barrier risk.
Support and implement initiatives with low to moderate risk.
Troubleshoot system issues to determine root cause.
Identify and recommend opportunities for process improvement and risk control development.
Establish and maintain effective relationships with various teams.
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
Extensive experience in the review of trade surveillance alerts across market conduct / abuse behaviors as well as rules-based surveillance using surveillance
Prior Compliance information barrier/Control Group or surveillance related experience
Understanding of securities products and trade processes including stocks, bonds and options
Proficient knowledge of data sets for trading in all asset classes/products, including but not limited to quotes, orders and executions
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact and partner within all levels of an organization
Adaptable to a collaborative work environment with multiple priorities and strict timelines
Job Expectations:
This position offers a hybrid work schedule
This position is not eligible for Visa sponsorship
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents
Specific compliance policies may apply regarding outside activities and/or personalinvesting; affectedemployees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
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