Senior Lead Compliance Officer - Prime Brokerage & Equities

About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to support the continued growth of its Prime Brokerage platform within Corporate & Investment Banking (CIB).

The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales. This is an individual contributor role.

In this role, you will:

• Provide compliance coverage for the Prime Brokerage business, including support for Prime Brokerage growth and expansion

• Partner closely with business leaders to deliver day-to-day advisory and oversight

• Offer flexible compliance support across Cash Equities and broker-dealer activities, including special projects and expanded responsibilities

• Interpret and advise on SEC, FINRA, and relevant regulatory requirements impacting equities and prime brokerage

• Provide credible challenge and oversight on business activities, new product initiatives, and risk decisions

• Support and lead regulatory exams, audits, and issue remediation efforts

• Oversee and enhance controls, governance frameworks, and compliance processes

• Collaborate with Front Office, Risk, Legal, Operations, and Audit to ensure strong compliance alignment

• Identify and escalate emerging risks, and drive proactive solutions as the business grows

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 Expectations:

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

• This position currently offers a hybrid work schedule

• 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 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

Job Posting Locations:

• 30 Hudson Yards, New York, NY

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.