Investment Banking Associate executing public equity offerings and mergers & acquisitions at Baird. Collaborating with senior bankers and clients to drive financial advisory services across sectors.
About the role
- Compliance Director at Wells Fargo managing compliance for Credit Sales & Trading activities. Leading a team to ensure compliance with U.S. regulations and enterprise policies.
Responsibilities
- 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.
- 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.
Requirements
- 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
- 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 processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training.
- Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.
- Expert-level knowledge of regulatory regimes including, but not limited to the OCC, SEC, CFTC, FINRA, and Federal Reserve and associated compliance programs; deep experience in Broker-Dealer activities.
- Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.
- Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
- 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.
- Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork.
- An ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision-making.
- Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. and non-U.S. regulators.
- Proven experience establishing a large-scale vision, developing the strategy to support the vision, gaining consensus across key functional leadership areas through effective communication and successful delivery against goals and objectives.
- Experience driving and influencing large-scale organizational change.
- Proven ability to build and lead high-performing teams and manage the establishment of major policies and relevant compliance programs across major business divisions within a large and complex organization.
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
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