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.

Required Qualifications

• 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, 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
• 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

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
• 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

$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

Posting End Date

12 Jul 2026

Job posting may come down early due to volume of applicants

Wells Fargo Recruitment And Hiring Requirements

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Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.