Executive Director – Prime Brokerage & Equities Compliance

Help shape the future of Prime Brokerage at one of the world's leading financial institutions.

Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to play a pivotal role in the continued growth and evolution of our Prime Brokerage platform within Corporate & Investment Banking (CIB).

This highly visible position sits at the intersection of regulation, strategy, and business growth. As a trusted advisor to senior leadership, you will help guide expansion initiatives, provide expert regulatory counsel, and influence key business decisions across Prime Brokerage, Cash Equities, and broader broker-dealer activities.

If you're energized by complex markets, evolving regulations, and the opportunity to help build a growing platform, this role offers a unique chance to make a meaningful impact at scale.

About this role:

• Partner with senior business leaders to support the growth and strategic expansion of Wells Fargo's Prime Brokerage platform.

• Serve as a trusted compliance advisor across Prime Brokerage, Cash Equities, and broker-dealer activities, delivering practical, risk-based guidance in a fast-moving environment.

• Influence critical business decisions by providing credible challenge on new products, initiatives, and emerging risks.

• Lead regulatory engagement efforts, including examinations, audits, governance enhancements, and issue remediation activities.

• Drive a strong culture of compliance and innovation by strengthening controls, enhancing governance frameworks, and collaborating across Front Office, Risk, Legal, Operations, and Audit.

Required Qualifications:

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

Desired Qualifications:

• Direct experience supporting a full-service Prime Brokerage platform, including financing, securities lending, margin and institutional clearing platform.

• Deep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3.

• Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3.

• Working knowledge of the Risk and Control Self-Assessment (RCSA) process.

• Understanding of swap dealer rules, Volcker and banking regulations (Reg W and Reg U).

• Exposure to cash equities businesses and trading activities.

• Experience in regulatory exams, audit engagement, and issue remediation.

• Strong understanding of risk frameworks, governance, and control environments.

• Strategic mindset with the ability to support business growth initiatives in Equities Finance, including new products, while ensuring a robust and scalable compliance environment.

Job Posting Location:

• 30 Hudson Yards, New York, New York

Job Expectations

• Willingness to work on-site at stated location on the job opening.

• This position currently offers a hybrid work schedule.

• Not Eligible for Visa Sponsorships.

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

*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.

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.