Senior Compliance Specialist - Trade Surveillance

In this role at Wells Fargo as a Senior Compliance Specialist, you will be responsible for establishing, implementing, and maintaining risk standards and programs to ensure compliance with various legal and regulatory requirements. Your key responsibilities will include: - Overseeing the Front Line's execution and appropriately addressing compliance-related challenges - Providing oversight and monitoring of risk-based compliance programs - Developing and overseeing standards in compliance risk management - Offering subject matter expertise with a comprehensive knowledge of the business and functional area - Providing compliance risk expertise and consulting for projects and initiatives with moderate risk - Monitoring reporting, escalation, and timely remediation of issues or deficiencies related to compliance risk management - Providing direction to the business for developing corrective action plans and managing regulatory changes - Identifying and recommending opportunities for process improvement and risk control development - Interpreting policies, procedures, and compliance requirements - Collaborating and consulting with peers, colleagues, and managers to resolve issues and achieve goals - Working with complex business units, rules, and regulations on moderate risk compliance matters Required Qualifications: - 4+ years of Compliance experience, or equivalent demonstrated through a combination of work experience, training, military experience, or education Desired Qualifications: - Designing and calibrating surveillance scenarios to detect anomalous trading behavior - Conducting daily reviews of exception reports and alerts generated by surveillance systems - Performing deep-dive investigations into complex trading activity - Monitoring employee trading activity against restricted lists and material non-public information events - Coordinating with IT and data teams to ensure accurate surveillance data - Developing and maintaining surveillance dashboards and metrics - Participating in tuning and back-testing of surveillance models - Staying current with regulatory developments and enforcement actions Wells Fargo values Equal Opportunity and emphasizes a customer-centric approach with a strong focus on risk mitigation and compliance-driven culture. Employees are expected to adhere to risk programs and compliance obligations, follow policies and procedures, escalate issues promptly, and make informed risk decisions in line with the business unit's risk appetite and all program requirements. Please note that the job posting for this role ends on 26 Sep 2025 and may close early due to the volume of applicants. Wells Fargo encourages applications from all qualified candidates in Canada, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodations for applicants with disabilities are available upon request during the recruitment process. Wells Fargo maintains a drug-free workplace and prohibits third-party recordings during the recruitment and hiring process. Candidates are required to represent their own experiences directly.,