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About the Role

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.

Responsibilities

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.

Requirements

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
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.
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.
Willingness to work on-site at stated location.
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.
Wells Fargo maintains a drug free workplace.

Skills

Prime Brokerage
Corporate & Investment Banking (CIB)
Regulation
Strategy
Business Growth
Regulatory Counsel
Broker-dealer activities
Complex Markets
Evolving Regulations
Risk Management
Compliance
Equities Finance
Securities Lending
Portfolio Margining
Listed Options Position Limits
Large Options Position Reporting
Electronic Blue Sheets
Regulation T
SEC Rule 15c3-3
Risk and Control Self-Assessment (RCSA)
Swap Dealer Rules
Volcker Regulations
Banking Regulations
Reg W
Reg U
Cash Equities
Trading Activities
Regulatory Exams
Audit Engagement
Issue Remediation
Risk Frameworks
Governance
Control Environments
Strategic Mindset
New Product Development
FINRA Background Screening

Location

30 Hudson Yards, New York, New York

Work Type

Hybrid
On-site

Experience Level

Senior Lead
Executive Director
7+ years of Compliance experience

Salary/Compensations

$191,000.00 - $305,000.00

Benefits

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

About the Company

Wells Fargo is one of the world's leading financial institutions.
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.

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.
Applicants with Disabilities: To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.