Senior Lead Compliance Officer - Structured Products Group (SPG)

About this role:
Wells Fargo is seeking a Lead Business Accountability Specialist to join the Fixed Income Strategies Team. This specialist will be responsible for managing investment operations processes, compliance, risk, procedures, and audit-related activities supporting the activities of a Portfolio Management team. Tasks include but are not limited to monthly sampling and control monitoring activities, project management, and Risk and Control Self Assessments (RCSA).
This role sits at the intersection of risk management and business operations, acting as a trusted advisor and execution partner to senior leadership and Portfolio Managers. You will drive risk governance, operating rigor, cross-functional initiatives, and business execution priorities across the platform.
In this role, you will:

• Lead complex initiatives with broad impact which are designed to mitigate current and emerging business risk issues and concerns; act as key participant in large-scale, cross-functional planning for the business
• Help lead the Fixed Income Strategies operational approach and execution
• Assess, analyze, and design complex and multi-faceted controls, protocols, and approaches with respect to risk mitigation and the control environment, including ensuring effective planning for sustainability, ongoing control adherence, reporting, measurement, technology impacts, and monitoring
• Make decisions in complex and multifaceted situations requiring solid understanding of business's functional area or products, operations, and regulatory environment; facilitate decision-making and issue resolution, and support implementation of developed solutions and plans; influence and lead key business partners to meet deliverables and drive new initiatives
• Strategically collaborate and consult with peers, colleagues, and mid to senior-level managers to identify current and emerging risks associated with business activities and operations, and provide guidance in interpreting, developing, and implementing risk-mitigating strategies
• Act as liaison for the business with external parties to support timeliness, appropriate response strategy, and effectiveness of communications and materials
• May lead projects, teams, or serve as a peer mentor

Required Qualifications:

• 5+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications

• Demonstrated experience supporting risk and controls related to business unit governance and documentation
• Demonstrated experience managing RCSA activities or similar frameworks/processes to meet a variety of needs, including controls, regulatory requirements, and business intelligence
• 3+ years of experience managing projects and programs
• Ability to build effective partnerships with Compliance, Legal, Risk and Technology to provide solutions or recommendations
• Experience managing new initiatives and deliverables through collaboration and problem-solving skills
• 3+ years experience working in an investment management organization
• Fixed Income knowledge
• Highly effective verbal and written communication skills with partners and senior leaders in Wealth & Investment Management

Job Expectations:

• This position is not eligible for Visa sponsorship
• Specific compliance policies may apply regarding outside activities 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.

Posting Locations:

• 550 S. Tryon Street - Charlotte, NC 28202
• Required location listed above. Relocation assistance is not available for this position.

Posting End Date:
21 May 2026
*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.