Compliance Specialist Jobs in Charlotte, NC

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About this role:

Wells Fargo is seeking a Senior Compliance Specialist to join the Corporate & Investment Banking (CIB) Compliance to support the Global Surveillance Oversight program. Learn more about the career areas and lines of business at wellsfargojobs.com. Global Surveillance Oversight is an independent risk management function responsible for independent oversight, challenge, and subject matter expertise over front line communications surveillance activities designed to identify, prevent, and mitigate market conduct and other compliance risks arising from communications. The Senior Compliance Specialist will serve as a key contributor to the Communications Surveillance Oversight team, operating with a high degree of independence while supporting Lead Compliance Officers and Senior Compliance Managers on surveillance reviews, issue identification, and program enhancements.

In this role, you will:

• Execute independent, risk‑based oversight of the front line’s Communications Surveillance Program, including email, voice, and other electronic communications monitoring.

• Perform detailed reviews of surveillance alerts, investigative outcomes, and escalation decisions to assess consistency with regulatory expectations and internal standards.

• Conduct targeted or thematic deep‑dive reviews to identify potential compliance and conduct risks, including market abuse, misuse of information, inappropriate communications, and supervision gaps.

• Assess the effectiveness of surveillance coverage, alert logic, escalation frameworks, and documentation practices.

• Support review and challenge of front‑line governance, procedures, and operating practices related to communications surveillance.

• Assist in identifying surveillance coverage gaps, emerging risks, and enhancement opportunities.

• Support preparation of surveillance oversight metrics, management information (MI), and materials for senior management and governance committees.

• Interpret and apply applicable laws, regulations, and internal policies related to communications surveillance, supervision, and recordkeeping.

• Support Regulatory Compliance Testing, Internal Audit, and regulatory inquiries, including review of findings and remediation actions.

• Partner with Compliance, Technology, and data teams to support assessments of surveillance data quality, logic design, and analytical enhancements.

• Contribute to the development and maintenance of communications surveillance policies, procedures, and oversight documentation.

• Exercise sound judgment and independence while operating within established oversight frameworks and escalation protocols.

Required Qualifications:

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

Desired Qualifications:

• Experience performing or overseeing communications surveillance in a financial services environment.

• Understanding of communications‑based conduct risks, including market abuse, insider information, competition law, and market conduct breaches.

• Familiarity with global regulatory frameworks relevant to communications surveillance, such as MAR, MiFID II, and applicable US regulatory expectations.

• Experience reviewing surveillance alerts, investigations, or quality assurance outcomes.

• Exposure to communications surveillance platforms and alert review workflows.

• Ability to perform independent analysis and raise issues with appropriate supporting rationale.

• Experience supporting audits, regulatory examinations, or compliance testing activities.

• Familiarity with the use of advanced analytics, automation, or artificial intelligence in surveillance, including awareness of governance and human oversight considerations.

• Strong analytical and problem‑solving skills with high attention to detail.

• Clear and concise written and verbal communication skills.

• Professionalism, adaptability, and ability to manage multiple priorities in a regulated environment

Job Expectations:

• Willingness to work on-site at stated location on the job opening.

• This position offers a hybrid work schedule.

• This position is not eligible for Visa sponsorship.

• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

• 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 St, Charlotte, NC

North Carolina – Charlotte Pay Range: $87,000.00 - 140,000.00 USD Annually

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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.

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.