Executive Director – Prime Brokerage & Equities 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 support the continued growth and evolution of its Prime Brokerage platform within Corporate & Investment Banking. This highly visible role sits at the intersection of regulation, strategy, and business growth, serving as a trusted advisor to senior leadership and guiding expansion initiatives, providing regulatory counsel, and influencing business decisions across Prime Brokerage, Cash Equities, and broader broker-dealer activities. The role partners with senior business leaders on strategic expansion and provides practical, risk-based compliance guidance. It influences decisions on new products, initiatives, and emerging risks; leads regulatory engagement, examinations, audits, governance enhancements, and issue remediation; and helps strengthen controls and governance while collaborating with Front Office, Risk, Legal, Operations, and Audit. The position is hybrid and requires willingness to work on-site at 30 Hudson Yards in New York, New York. It is not eligible for visa sponsorship and is subject to FINRA background screening and ongoing regulatory requirements. Specific policies may apply to outside activities and personal investing.

Requirements

7+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education, or a combination.
Willingness to work on-site at the stated New York location under the currently offered hybrid schedule.
Successful completion and clearing of a FINRA background check; candidates must meet ongoing regulatory requirements and report certain incidents.

Nice To Haves

Direct experience supporting a full-service Prime Brokerage platform, including financing, securities lending, margin, and institutional clearing.
Deep expertise in broker-dealer compliance frameworks, especially 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 including Reg W and Reg U.
Exposure to cash equities businesses and trading activities.
Experience with regulatory examinations, audit engagement, and issue remediation.
Strong understanding of risk frameworks, governance, and control environments.
Strategic mindset and ability to support Equities Finance business growth initiatives while maintaining a robust, scalable compliance environment.

Responsibilities

Partner with senior business leaders to support growth and strategic expansion of Wells Fargo's Prime Brokerage platform.
Serve as a compliance advisor across Prime Brokerage, Cash Equities, and broker-dealer activities, delivering practical, risk-based guidance.
Provide credible challenge on new products, initiatives, and emerging risks to influence critical business decisions.
Lead regulatory engagement efforts, including examinations, audits, governance enhancements, and issue remediation.
Strengthen controls and governance frameworks and collaborate across Front Office, Risk, Legal, Operations, and Audit.
Support business growth initiatives in Equities Finance, including new products, while ensuring a robust and scalable compliance environment.
Fulfill applicable risk program obligations, follow Wells Fargo policies and procedures, escalate and remediate issues, and make risk decisions consistent with risk appetite and program requirements.