Compliance Associate Manager

Wells Fargo•St. Louis, MO

5d•Onsite

About The Position

Wells Fargo is seeking a Compliance Associate Manager within their Registration Department located in St. Louis, MO. This role is responsible for managing a team of Compliance Specialists who focus on various regulatory filings, including Form U4, Form U5, Form BR, Form BD, and ADV filings. The position involves managing a team responsible for establishing, implementing, and maintaining risk standards and programs to ensure compliance with federal, state, agency, legal, regulatory, and Corporate Policy requirements. The role also includes overseeing the Front Line's execution and challenging compliance-related decisions appropriately. The Associate Manager will manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program. This role provides compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements, recommends process improvements and risk control development, and manages coordination and communication with leadership regarding compliance risks. The position involves implementing strategic initiatives, making decisions to meet business objectives, interpreting policies and compliance requirements, collaborating with professionals at all levels, and leading a team to achieve objectives. Key responsibilities include managing communication and collaboration with business leaders, Legal, Audit, and regulators on risk-related topics, managing the allocation of people and financial resources for Compliance, and mentoring talent development and hiring for direct reports.

Requirements

4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of Leadership experience

Nice To Haves

5+ years of hands‑on experience managing regulatory filings, including Form U4, Form U5, Form BR, Form BD, and Form ADV, for both individuals and firms
Deep understanding of SEC, FINRA, and state registration requirements, including disclosure obligations, amendments, and reporting timelines
Proven ability to interpret and apply complex regulatory rules to registration and disclosure matters.
Strong attention to detail and accuracy, with demonstrated success meeting strict regulatory deadlines
Ability to manage multiple concurrent filings and prioritize effectively in a high‑volume environment
Experience developing, coaching, or building a high‑performing Compliance or Registration team
Familiarity with registration systems and tools (e.g., CRD/IARD workflows, internal tracking or case‑management tools)
Cross‑functional collaboration experience with Legal, Risk, Operations, HR, or Business partners
Exposure to process improvement or standardization initiatives within registration or compliance operations
Strong written and verbal communication skills, including responding to regulators and partnering with internal stakeholders
Ability to interact effectively with senior managers on registration status, risks, and regulatory impacts

Responsibilities

Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
Provide compliance risk and regulatory expertise for compliance program elements
Recommend opportunities for process improvement and risk control development
Manage coordination and communication with leadership regarding compliance risks
Implement strategic initiatives with moderate risk and complexity
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and influence all levels of professionals including managers
Lead team to achieve objectives
Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
Manage allocation of people and financial resources for Compliance
Mentor and guide talent development of direct reports and assist in hiring talent