Executive Director – Futures Commission Merchant Compliance

Wells Fargo•New York, NY

14d•$191,000 - $305,000•Hybrid

About The Position

Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to lead compliance oversight for the Futures Commission Merchant (FCM) business within Wells Fargo Securities and the Corporate & Investment Banking (CIB) Markets organization. This highly visible leadership role involves serving as a strategic advisor to senior business leaders, leading a team of experienced compliance professionals, influencing critical business initiatives, and promoting a strong risk-management culture while enabling growth and innovation. Working directly with front office leaders, Legal, Audit, and regulators, the Executive Director will shape compliance strategy, respond to evolving regulatory expectations, and help ensure the business is well-positioned for future success. The role currently offers a hybrid work schedule and requires willingness to work on-site at 30 Hudson Yards in New York, New York. The position is not eligible for visa sponsorship and is subject to FINRA background screening and ongoing regulatory requirements.

Requirements

At least 7 years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education, or a combination of these.
Willingness to work on-site at the stated job location; the position currently offers a hybrid work schedule.
Ability to meet FINRA background screening requirements and ongoing regulatory requirements, including applicable screening and incident-reporting requirements.

Nice To Haves

Deep experience in Futures Commission Merchant (FCM) activities.
Expert-level knowledge of regulatory regimes including the CFTC, NFA, and CME, and associated compliance programs.
Extensive experience designing and executing enterprise compliance programs, including regulatory change management, risk identification and assessment, compliance issue management, new product and business review, complaint handling, compliance monitoring and reporting, and compliance training.
Expert-level knowledge of compliance program operations, including compliance risk assessment, monitoring programs, issue management, and compliance risk data architecture and technology platforms suited to large financial institution independent risk management programs.
Significant experience in a business-facing compliance role providing advisory support to front office or trading environments.
Proven ability to build, influence, and maintain strong relationships with business stakeholders, including front office leadership.
Deep understanding of evolving governance and regulatory environments and industry and compliance risk-related best practices.
Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
Strong analytical, critical-thinking, and problem-solving skills, with the ability to turn ambiguous ideas or issues into well-defined plans and solutions and a track record of delivering results.
Effective oral and written communication skills, including the ability to ask well-crafted questions, present ideas clearly and compellingly, listen well, and encourage creative thinking and teamwork.
Ability to develop and articulate sound proposals to key stakeholders and influence timely decision-making.
Proven ability to cultivate relationships and collaborate with business leaders, Legal, Audit, and U.S. and non-U.S. regulators.
Experience establishing a large-scale vision, developing supporting strategy, gaining consensus across functional leadership areas, and delivering against goals and objectives.
Experience driving and influencing large-scale organizational change.

Responsibilities

Lead and elevate the FCM Compliance Program, providing strategic oversight across a critical, highly regulated business.
Advise senior Markets and Front Office leaders on business initiatives and regulatory matters, providing practical, risk-based guidance.
Build, mentor, and develop a high-performing team of compliance professionals and foster collaboration, accountability, and excellence.
Partner with Legal, Audit, Risk, and regulatory stakeholders to influence enterprise-wide outcomes, provide credible challenge, and support sound decision-making.
Identify emerging risks and opportunities, strengthen compliance frameworks, enhance processes, and help shape the future of compliance across the organization.
Drive compliance obligations, including proactive monitoring, governance, risk identification and escalation, issue remediation, and sound risk decisions aligned with applicable policies and risk appetite.