Compliance Director - Corporate & Investment Banking

About this role:

Wells Fargo is seeking a Compliance Director. This role will report to the head of Corporate & Investment Banking (CIB) Markets Compliance and will manage a team providing compliance oversight to Credit Sales & Trading Activity, Senior Relationship Management, and Structured Products Group Trading. The role is accountable for leading the compliance officers providing oversight to those lines of business as well as reporting and escalating concerns to management.

In this role, you will:

* Be accountable for enhancement and overseeing execution of the compliance programs associated with Credit Sales & Trading Activity, Senior Relationship Management, and Structured Products Group Trading.

* Direct and oversee key enterprise compliance program elements with respect to these lines of business, including compliance risk assessments, initiative management, metrics and reporting.

* Manage and lead a team of CIB Compliance Officers responsible for executing these responsibilities.

* Work with other business aligned compliance officer teams to provide reporting on the state of compliance in the CIB line of business to the CIB Compliance Executive, appropriate committees, and executive management.

* 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 across business groups, legal entities, geographies, and jurisdictions; and ensure that escalated compliance issues receive immediate senior management attention.

* Create a culture of excellence by proactively attracting, retaining, and developing a team of talented and diverse compliance professionals to support the execution of the CIB compliance program.

* Manage and lead team with a variety of coverage responsibilities

* Challenge Front Line activities, actions, and new business initiatives

* Direct and oversee complex regulatory environments including establishing standards

* Manage applicable compliance programs for associated business groups

* Provide compliance risk and regulatory subject matter expertise

* Recommend opportunities for process improvement and risk control development

* Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management

* Make decisions and resolve issues to meet business objectives

* Interpret policies, procedures, and compliance requirements

* Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics

* Lead team to achieve objectives

* Manage allocation of people and financial resources for Compliance

* Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications:

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

* 4+ years of Management experience

Desired

Qualifications:

* 8+ years of experience in Compliance, Risk, Legal, Audit, or regulatory roles within Corporate & Investment Banking, with direct exposure to Credit Sales & Trading, Structured Products, or Markets businesses.

* Demonstrated expertise enhancing and overseeing compliance programs, including risk assessments, program execution, issues management, new initiatives, and metrics/reporting.

* Strong knowledge of U.S. securities laws and regulations, including those issued by SEC, CFTC, FINRA, NFA, Federal Reserve, and experience navigating global regulatory expectations related to institutional trading.

* Proven ability to provide credible challenge to front‑line activities, business initiatives, complex trading strategies, and structured product offerings.

* Extensive experience designing and executing enterprise compliance programs, including regulatory change management, risk identification and assessment…