Senior Lead Compliance Officer (CIB)

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About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer to provide second-line compliance oversight for the Lending / Corporate Banking, Structured Products and Commercial Real Estate businesses. The position is accountable for independent oversight, credible challenge, and governance of compliance risks associated with corporate lending products, underwriting, portfolio management, and related banking activities. This role operates within the IRM framework and partners closely with senior business leaders, Legal, Audit, and enterprise risk functions

In this role, you will:

• Oversee compliance coverage related to corporate lending, underwriting, portfolio management, amendments, and ongoing monitoring.
• Monitor and challenge the identification, escalation, and remediation of compliance issues, regulatory matters, and control deficiencies.
• Advise the business on regulatory change, policy interpretation, and compliance risk impacts to lending strategies and initiatives.
• Provide compliance risk expertise and consulting for projects, new products, and strategic initiatives with moderate to high-risk exposure.
• Review and assess compliance risks related to credit products, deal structures, client onboarding, and complex transactions.
• Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
• Work with complex business units, rules and regulations on 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 business on developing corrective action plans and effectively managing regulatory change
• 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
• Work with complex business units, rules and regulations on moderate to high risk compliance matters
• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications:

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

Desired Qualifications:

• Deep expertise in corporate banking, lending, and credit-related compliance risks
• Strong understanding of second-line risk management and Independent Risk Management (IRM) frameworks
• Proven ability to lead teams and deliver results in a complex, highly regulated environment
• Experience providing credible challenge and influencing senior stakeholders
• Demonstrated success managing regulatory exams, audits, and remediation programs
• Excellent communication skills, including the ability to translate complex regulatory requirements into clear, actionable guidance
• Strong analytical and problem-solving capabilities with a risk-based mindset
• Ability to manage multiple priorities and drive execution in a fast-paced environment
• High level of integrity, accountability, and sound judgment

Job Expectations:

• This position does not offer sponsorship
• 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
• 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.

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.