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Wells Fargo Compliance Sr Assoc in West Des Moines, Iowa

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as “Personal Cell” or “Cellular” in the contact information of your application.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

As the company's second line of defense, Corporate Risk — or Independent Risk Management — provides independent oversight of risk-taking activities. Independent Risk Management establishes and maintains Wells Fargo's risk management program and provides oversight, including challenges to and independent assessment of, the frontline's execution of its risk management responsibilities. We manage risk according to the Risk Management Framework ( and ensure all employees understand their individual accountability for managing risk. Corporate Risk roles depend on a variety of skills, including: Data analysis and synthesis, root cause analysis, change management, process management & execution, risk governance, risk strategy, risk identification & assessment, risk prevention, controls & mitigation, risk monitoring, reporting & escalation, risk systems & technology.

This role is part of the FX Surveillance team.

The new hire would ideally be an SME in the Foreign Exchange markets, preferably with a focus on options sales/trading experience.


  • Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating with IT and Project Managers on the timely implementation of enhancements and proactively addressing potential issues.

  • Leverage market knowledge to assist in calibrating new surveillances being developed to tailor it to the Wells Fargo FX franchise.

  • Additionally, candidate will pass market knowledge along to team members to further strengthen the overall expertise of the entire FX Surveillance analysts.

  • The individual would have strong analytical skills in order to manipulate and analyze data and be well organized and detail oriented.

  • They should have excellent verbal, written, and interpersonal skills and be comfortable in building relationships as well as providing credible challenge where necessary.

Required Qualifications

  • 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management

Desired Qualifications

  • A BS/BA degree or higher

  • Advanced Microsoft Office skills

  • Financial services industry experience

  • Excellent verbal, written, and interpersonal communication skills

  • Good analytical skills with high attention to detail and accuracy

  • Strong collaboration and partnering skills

  • Ability to articulate complex concepts in a clear manner

  • Ability to work across multiple lines of business leading large scale initiatives

  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Other Desired Qualifications

  • Advanced knowledge and understanding of FX Options trading/pricing etc.

  • Knowledge and understanding of compliance and surveillance


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Benefits Summary


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Company: Wells Fargo

Req Number: 5599331-1

Updated: 2021-09-15 23:50:33.374 UTC

Location: West Des Moines,IA