Compliance Director - Corporate & Investment Banking

Wells Fargo

New York, NY, US
Base: $185,000.00 - $300,000.00; bonus/equity: not...
Credit sales & trading oversight
Structured products group trading oversight
Senior relationship management oversight
This role is accountable for leading the compliance officers providing oversight to Credit Sales & Trading Activity, Senior Relationship Management, and Structured Products Group Trading, as well as reporting and escalating concerns to management

Job Summary

  • This role is accountable for leading the compliance officers providing oversight to Credit Sales & Trading Activity, Senior Relationship Management, and Structured Products Group Trading, as well as reporting and escalating concerns to management.
  • You will be responsible for enhancing and overseeing execution of compliance programs, directing and overseeing key enterprise compliance program elements, and managing and leading a team of CIB Compliance Officers.
  • Wells Fargo provides eligible employees with a comprehensive set of benefits including health benefits, 401(k) Plan, paid time off, disability benefits, and more.

Matching Summary

This role is accountable for leading the compliance officers providing oversight to Credit Sales & Trading Activity, Senior Relationship Management, and Structured Products Group Trading, as well as reporting and escalating concerns to management.

Salary

Base: $185,000.00 - $300,000.00; Bonus/Equity: Not specified; Benefits: Comprehensive set of benefits

Skills & Requirements

Must-have

  • Credit Sales & Trading oversight
  • Structured Products Group Trading oversight
  • Senior Relationship Management oversight
  • Compliance risk assessments
  • Regulatory subject matter expertise

Nice-to-have

  • Foster strong communication and cooperation
  • Sustain strong risk culture
  • Create culture of excellence
  • Organizational courage
  • Effective communicator

Key Requirements

  • 8+ years Compliance experience
  • 4+ years Management experience
  • FINRA Background Screening Requirements

Work Rights

Not specified

Tailored Resume

Cover Letter