# Senior Compliance Specialist - Surveillance Team at Wells Fargo

AI Level 1, AI centrality 38 out of 100. CHARLOTTE, NC.

## Details

- Company: [Wells Fargo](https://jobsbylevel.com/companies/wells-fargo)
- AI level: AI Level 1 (score 38 out of 100)
- Location: CHARLOTTE, NC
- Posted: October 7, 2026
- Apply: https://jobsbylevel.com/go/2d4e45ea-4018-42cd-8978-edfeed2a914d

## Description

About this role: Wells Fargo is seeking a Senior Compliance Specialist on the Surveillance team within the Global Compliance Control Room, which sits within Enterprise Compliance Operations (“ECO”) and reports to the Chief Compliance Officer of Wells Fargo Corporation. The Surveillance team oversees employee and firm trading, primarily within the Corporate and Investment Bank, as well as retail client and discretionary trading. The Senior Compliance Specialist is responsible for the execution performing oversight of the team’s risk and control monitoring and reporting to management based on our Policies and Procedures, and Target Operating Model (TOM). The role also monitors the flow of material nonpublic information and identifies suspicious activity that may violate the firm’s Information Barrier program or regulatory requirements. Learn more about our career areas and lines of business at wellsfargojobs.com. In this role, you will: Conduct risk-based surveillance of institutional, employee, and client trading to detect potential misuse of material nonpublic information, insider trading, Information Barrier concerns, and Restricted List violations. Investigate surveillance alerts and exceptions by analyzing trading activity, positions, accounts, employees, desks, securities, market events, and relevant restrictions. Prepare clear, accurate, evidence-based alert dispositions and escalate potentially significant activity to Compliance leadership, Legal, Financial Crimes, or other appropriate partners. Support the design and enhancement of surveillance scenarios by translating regulatory requirements, policies, risks, and business needs into detection logic, data requirements, workflows, user stories, and acceptance criteria. Partner with Technology and Data teams to identify and resolve data-quality, and system issues affecting surveillance. Identify surveillance gaps, control weaknesses, data limitations, manual dependencies, and process inefficiencies, and partner with stakeholders to develop practical remediation plans. Oversee and monitor compliance programs. Participate in governance activities, including risk indicator monitoring and self-assurance reviews. Develop and maintain procedures, methodologies, business requirements, data documentation, testing evidence, control records, and other surveillance governance materials. Collaborate with peers, colleagues, and managers to resolve issues and achieve objectives. Address moderate-risk compliance matters involving complex business units, rules, and regulations. Follow leadership direction while exercising independent judgment and building knowledge of the function, policies, procedures, and compliance requirements. Required Qualifications: 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: 2+ years of surveillance or monitoring experience Working knowledge of artificial intelligence (AI) tools and the ability to use them responsibly Familiarity with Equity, Derivative and Fixed Income securities/products Experience with governance and oversite programs Prior Information Barrier/Control Group or related experience Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accuracy Ability to interact with all levels of an organization Securities Series 7 licensing Adaptable to a collaborative work environment with multiple priorities and strict timelines Posting Locations: 550 S. Tryon Street - Charlotte, North Carolina Job Expectations: Required location(s) listed above. Relocation assistance is not available for this position This position is not eligible for VISA sponsorship This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR

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Source: https://jobsbylevel.com/jobs/senior-compliance-specialist-surveillance-team-at-wells-fargo-aceb22

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