Lead Compliance Officer - Personal Account Dealing (PAD)

About this role:
Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD) Team in managing and delivering employee violation notices for breaches of PAD requirements. This role provides strategic leadership in enhancing program effectiveness, mentoring team members, and promoting a culture of compliance and accountability.
Success in this role will be measured by improvements in policy adherence, reduction in repeat violations, timely and consistent violation handling, and the development of scalable tools and educational resources.
About Conduct Risk and Enterprise Compliance Operations (CR & ECO):
CR & ECO sets requirements and provides subject matter expertise, governance, oversight, insights, and controls to mitigate risk associated with allegations, ethics, sales practices, conflicts of interest, personal account dealing, large shareholder requirements, information barriers, registration, and insurance licensing.
Learn more about career areas and lines of business at wellsfargojobs.com.
In this role, you will:

• Report to the Compliance Manager on the PAD Team and collaborate across PAD and ECO functions.
• Serve as a Subject Matter Expert (SME) and process owner for PAD policy violations.
• Communicate complex and sensitive compliance matters with professionalism and tact, including direct engagement with Operating Committee members and senior executives.
• Analyze violation trends and present actionable insights to leadership.
• Lead the development of a streamlined violation process.
• Provide coaching and support to PAD Team peers to ensure consistency and knowledge sharing.
• Oversee violation-related activities to ensure adherence to escalation protocols and tracking standards.
• Create and maintain standardized email templates for consistent and professional communication.
• Design and deliver educational materials (e.g., presentations, newsletters, guidance documents) to reduce policy violations.
• Develop and maintain internal documentation, including FAQs, training materials, and guidance documents.
• Collaborate with peers, managers, and business partners to resolve issues and achieve business objectives.
• Identify and recommend opportunities for process improvement and enhanced risk controls.
• Navigate complex business units, rules, and regulations on moderate to high-risk compliance matters.
• Exercise independent judgment while developing expertise in function-specific policies and compliance requirements.
• Partner with the ECO Control and Risk Assessment team on PAD metrics and controls.
• Update and author new desk procedures.
• Interface with Audit, Legal, and Testing teams.
• Thrive in a fast-paced, high-volume environment requiring multitasking, attention to detail, and strong organizational skills.

Required Qualifications:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Must possess FINRA Series 7 securities license within 12 months of accepting role

Desired Qualifications:

• Knowledge of Corporate Investment Banking and Wealth Investment Management.
• Familiarity with Personal Account Dealing programs.
• Strong knowledge of SEC, FINRA, and other relevant regulatory frameworks as it pertains to Personal Account Dealing programs.
• Experience engaging with executives and Operating Committee members.
• Proven ability to build partnerships and collaborate across business and functional areas.
• Strong presentation skills with the ability to communicate complex requirements clearly and professionally.
• Ability to work independently and manage projects from initiation to completion.
• Experience partnering with technology teams to develop or enhance business applications.
• Skilled in writing desktop procedures.
• Strong prioritization skills with the ability to meet deadlines in a dynamic environment.
• Excellent analytical, organizational, and communication skills with high attention to detail.
• Experience training and mentoring employees.
• 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.
• Proficiency in OneNote and SharePoint.

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• 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
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees 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.

Job Posting Locations:

• 401 S Tryon St Charlotte, NC
• 114 N Beaumont St - D Bldg. St. Louis, MO

Posting End Date:
5 Aug 2025
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.