Senior Lead Compliance Officer - Prime Brokerage & Equities

Wells Fargo Bank•New York, NY

11h•Hybrid

About The Position

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.

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

Provide compliance coverage for the Prime Brokerage business , including support for Prime Brokerage growth and expansion
Partner closely with business leaders to deliver day-to-day advisory and oversight
Offer flexible compliance support across Cash Equities and broker-dealer activities , including special projects and expanded responsibilities
Interpret and advise on SEC, FINRA, and relevant regulatory requirements impacting equities and prime brokerage
Provide credible challenge and oversight on business activities, new product initiatives, and risk decisions
Support and lead regulatory exams, audits, and issue remediation efforts
Oversee and enhance controls, governance frameworks, and compliance processes
Collaborate with Front Office, Risk, Legal, Operations, and Audit to ensure strong compliance alignment
Identify and escalate emerging risks, and drive proactive solutions as the business grows