Executive Director – Prime Brokerage & Equities Compliance

Wells Fargo•New York, NY

7d•$191,000 - $305,000•Hybrid

About The Position

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.

Requirements

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

Nice To Haves

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.

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.