Compliance Senior Manager - Trade and Communication Surveillance Oversight

About this role:

Wells Fargo is seeking a Compliance Senior Manager

In this role, you will:

• Manage and lead team with the implementation of the companywide compliance program with moderate to high risk complexity
• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Provide compliance risk and regulatory expertise for compliance program elements
• Identify and recommend opportunities for process improvement and risk control development
• Lead the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
• Report on the Compliance Program to more experienced compliance leaders, committees, and appropriate business management
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and influence all levels of professionals including managers
• Build 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

Required Qualifications:

• 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of management or leadership experience

Desired Qualifications:

• 12+ years of experience in Compliance, Market Conduct, Surveillance or related control functions.
• Significant experience managing Trade Surveillance and/or Communications Surveillance programs within a global financial institution.
• Proven people leadership experience managing teams across multiple compliance disciplines.
• Demonstrated experience engaging with senior stakeholders across global organizations.
• Experience supporting regulatory examinations, audits, and compliance reviews.
• Strong understanding of global regulatory requirements relating to market conduct and surveillance.
• Experience overseeing multiple surveillance pillars simultaneously.
• Experience leading global operating model transformation initiatives.
• Experience implementing surveillance technologies, automation, analytics, or AI-driven monitoring solutions.
• Experience establishing or scaling Centres of Excellence and offshore capability centres.
• Exposure to SEC, FCA, FINRA, MiFID, MAR, and related regulatory frameworks is preferrable.

• Critical Competencies

  Leadership

• Strategic thinking
• Executive presence
• Decision-making under ambiguity
• Change leadership
• Talent development

• Functional Expertise

• Trade Surveillance
• E-Communications Surveillance
• Voice Surveillance
• Market Abuse Risk

• Business & Operational Excellence

• Transformation and automation
• Risk assessment and control design
• Program management
• Data-driven decision making
• Process optimization

• Stakeholder Management

• Executive communication
• Cross-functional collaboration
• Global relationship management
• Regulatory engagement readiness

Job Expectations:

• Role Summary

  The Senior Compliance Manager – Global Surveillance Oversight (GSO) will serve as the lead surveillance risk management officer for the India-based Global Surveillance Oversight function, providing strategic leadership, governance, and oversight across multiple surveillance domains, including Trade Surveillance, Electronic Communications Surveillance and Voice Surveillance.

  This role is accountable for leading and driving the evolution of India GSO Team. The position requires a highly experienced compliance leader capable of balancing regulatory risk management, operational execution, stakeholder engagement, and transformation initiatives across multiple jurisdictions.

  The role will act as a senior partner to global GSO stakeholders, ensuring surveillance frameworks remain effective, scalable, regulator-ready, and aligned to evolving regulatory expectations.

  Strategic Leadership & Governance

• Provide strategic leadership for the Global Surveillance Oversight (GSO) program across multiple surveillance pillars and jurisdictions.
• Drive the development and execution of the GSO strategy, aligning with global compliance and risk objectives.
• Ensure consistency of surveillance standards, governance frameworks, operating procedures, and escalation protocols across regions.
• Act as the single point of accountability for surveillance risk oversight within the India organization.
• Partner with global leadership teams to shape the future-state GSO operating model.

• Surveillance Oversight

  Lead and oversee GSO activities across:

• Trade Surveillance
• Electronic Communications (E-Comms) Surveillance
• Voice Surveillance

• Key responsibilities include:

• Ensuring effective GSO coverage and risk-based monitoring frameworks.
• Overseeing alert review quality, escalation processes, and investigative outcomes.
• Identifying surveillance gaps and implementing appropriate controls.
• Providing credible challenge and review of surveillance methodologies and risk assessments.
• Monitoring regulatory developments and assessing impact on surveillance programs.

• Regulatory & Audit Readiness

• Maintain surveillance programs that meet regulatory expectations across multiple jurisdictions, including SEC, FCA, and other applicable regulatory bodies.
• Lead regulatory examination readiness efforts, including drafting responses to regulator inquiries, audits, reviews, and thematic assessments.
• Ensure appropriate documentation, evidence retention, governance reporting, and control effectiveness.
• Partner with Compliance Testing, Internal Audit, and Risk functions to address findings and drive sustainable remediation.

• Transformation & Innovation

• Lead strategic transformation initiatives focused on automation, advanced analytics, AI-enabled surveillance capabilities, and process optimization.
• Drive simplification and modernization of surveillance workflows and operating models.
• Identify opportunities to improve effectiveness, efficiency, scalability, and risk coverage through technology and data solutions.
• Sponsor and oversee work migration initiatives and operational transitions into India.
• Build capabilities that support the long-term GSO vision.

• Stakeholder Management

• Serve as a trusted advisor to senior Compliance and Risk leadership.
• Present surveillance outcomes, key risks, metrics, and strategic initiatives to senior management forums.

• People Leadership

• Lead, coach, and develop the team with multiple surveillance disciplines.
• Establish a high-performance culture focused on accountability, collaboration, and continuous improvement.
• Build succession pipelines and strengthen technical expertise across the function.
• Promote employee engagement, capability development, and leadership growth.
• Ensure effective capacity & resource planning, workload prioritization, and performance management.

• Risk Management & Controls

• Maintain robust governance and control frameworks supporting GSO activities.
• Ensure timely identification, escalation, and mitigation of surveillance-related risks.
• Drive continuous improvement in quality assurance, metrics, reporting, and monitoring processes.
• Support enterprise compliance initiatives related to market abuse.

Posting End Date: 

6 Aug 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.