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:

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,