Wells Fargo Senior Lead Compliance Officer - Municipal Products Group 

United States, North Carolina, Charlotte 

754430083

In this role, you will:

• Provide oversight and governance of the Public Finance Investment Banking business.

• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.

• Oversee Public Finance’s execution and challenges appropriately on compliance related decisions.

• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise

• Work with Public Finance, a complex business unit, on rules and regulations on all compliance matters, including moderate to high-risk compliance matters.

• Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.

• Provide direction to the Public Finance business on developing corrective action plans and effectively managing regulatory change.

• Develop, oversee, and provide expert business and regulatory compliance functional knowledge

• Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over the Public Finance business.

• Provide regulatory compliance risk expertise for political “pay to play” across CIB.

• Identify and recommend opportunities for process improvement and risk control development.

• Consult and engage business on developing corrective action plans and effectively managing regulatory change

• Report findings and make recommendations to management or directors and appropriate committees

• Make decisions and resolve issues to meet business objectives

• Interpret policies, procedures, and compliance requirements

• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.

• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications, US:

• 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Experience in executing compliance programs, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training.

• Expert-level knowledge of the Applicable Rules and associated compliance programs; experience in Bank Dealer and Broker-Dealer, including MSRB, SEC and FINRA regulations.

• Understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.

• Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track record for delivering results.

• Ability to lead, ensuring proper staffing and expertise, and manage the establishment of major policies and relevant compliance programs for a business division within a large and complex organization.

• Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters involving Public Finance.

• Oversees the development of reporting on the state of compliance in Public Finance.

• Oversee, credibly challenge, and assess Public Finance with respect to managing and mitigating compliance risk and establish processes to ensure effective and timely implementation of regulatory change requirements applicable to the group.

• Direct the implementation of effective compliance strategies to assess key risks in Public Finance and anticipate regulatory issues; and identify opportunities to simplify and drive consistency of solutions to strengthen compliance risk management.

• Support effective coordination of compliance-related regulatory examinations in Public Finance and maintain effective relationships with all associated regulators.

• Lead and actively participate as a key member and compliance representative on various Public Finance-based governance committees.

• Foster an environment that ensures strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance, and credible challenge.

• Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.

Job Locations:

• 401 S Tryon St, Charlotte, NC, 28202
• 150 E 42nd St, New York, NY, 10017
• Ability to travel up to 15% of the time.
• This position offers a hybrid work schedule.
• Willingness to work onsite at stated location on the job posting.
• 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 comply 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.

Pay Range

$144,400.00 - $300,000.00

14 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.