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Compliance Associate Manager

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
United States , Saint Louis

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Category:
Finance

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Contract Type:
Employment contract

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Salary:

87000.00 - 140000.00 USD / Year
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Job Description:

Wells Fargo is seeking a Compliance Associate Manager within our Registration Department located in St. Louis, MO responsible for managing a team of Compliance Specialists specializing in various regulatory filings including Form U4, Form U5, Form BR, BD and ADV filings.

Job Responsibility:

  • 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

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 have:

  • 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
What we offer:
  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

Additional Information:

Job Posted:
April 23, 2026

Expiration:
April 28, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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