Compliance Specialist, Employee Trade Surveillance

Wells Fargo is looking for an experienced Compliance Specialist, Employee Trade Surveillance to join our team and help uphold our commitment to regulatory compliance. The ideal candidate for this role is a highly organized self-starter with a keen eye for detail and the ability to think strategically. They must possess strong interpersonal skills and be comfortable working with all levels of an organization.To be successful in this position, you must have a Bachelor’s degree in accounting, law, finance, or related field; a minimum of 3 years of experience in financial services, compliance, or audit; experience with surveilling employee trades; and a thorough understanding of FINRA and SEC regulations. An advanced degree in law or finance, and experience in the banking industry are preferred.We are looking for a team player with a passion for compliance and the ability to work in a fast-paced environment. If you have the qualifications and dedication we seek, we welcome you to apply and join our team.

According to JobzMall, the average salary range for a Compliance Specialist, Employee Trade Surveillance in Charlotte, NC, USA is $90,000 - $110,000. The salary range varies depending on experience, certifications, and the size of the company.

Wells Fargo & Co. is a bank holding company that engages in the provision of banking, insurance, investments, mortgage, and consumer and commercial finance. It operates through the following segments: Community Banking, Wholesale Banking, and Wealth and Investment Management. The Community Banking segment offers investment management and other services to retail customers and securities brokerage and provides financial products and services to consumers and small businesses.