Lead Compliance Officer | Corporate & Investment Banking Compliance

About this role:

Wells Fargo is seeking a Lead Compliance Officer within Corporate & Investment Banking (CIB) Compliance to provide ownership and oversight of broad compliance initiatives, governance activities, regulatory matters, reporting, and other responsibilities requiring centralized coordination across CIB Compliance. This role will lead initiatives and obligations that may not align directly with existing coverage teams but require dedicated accountability, governance, coordination, and execution.

In this role, you will:

• Lead assigned compliance initiatives and special projects requiring dedicated ownership and cross-functional coordination.
• Coordinate the assessment, implementation, and ongoing monitoring of applicable no-action letters, regulatory guidance, interpretive relief, and related obligations.
• Support management reporting, governance forums, and strategic compliance initiatives.
• Identify activities with fragmented or evolving ownership and help establish clear, sustainable oversight and accountability.
• Coordinate and support the execution of enterprise, regulatory, and CIB Compliance initiatives involving multiple teams and stakeholders.

Required Qualifications, US:

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

Desired Qualifications:

• Strong knowledge of CIB products, business operations, and compliance risk management.
• Experience leading or coordinating compliance programs within a large, complex financial institution.
• Experience with policy governance, regulatory requirements, and regulatory guidance, including no-action letters, interpretive guidance, and exemptive relief.
• Experience establishing program governance, ownership, reporting, monitoring, and escalation processes.
• Experience working across multiple business lines, products, regions, or compliance programs.
• Ability to interpret complex regulatory or compliance requirements and translate them into clear actions and responsibilities.
• Experience identifying and resolving compliance gaps, unclear ownership, and emerging risks.
• Proven ability to lead cross-functional initiatives and collaborate effectively across Compliance, Legal, Risk, Audit, Regulatory Change, Front Line, and other stakeholders.
• Ability to influence stakeholders, build consensus, and provide effective challenge when appropriate.
• Strong analytical, critical-thinking, organizational, and problem-solving skills with strong attention to detail.
• Strong written and verbal communication skills, including preparing clear, executive-level materials and management reporting.
• Proficiency in Microsoft Word, PowerPoint, Excel, and related business tools.

Job Expectations:

• Willingness to work on-site at the stated location on the job opening.
• This position currently 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 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.

Work Location:

• 550 S Tryon St, Charlotte, North Carolina 28202

Posting End Date: 

*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.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.