Senior Lead Compliance Officer - Investment Advisory, Wells Fargo

Wells Fargo

Location:
United States, SAINT LOUIS ▼
CHARLOTTE
IRVING
MINNEAPOLIS
TEMPE
WEST DES MOINES

Category:
Finance

Contract Type:
Employment contract

Salary:

159000.00 - 279000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management Compliance to focus on SEC Registered Investment Advisory Programs and Products.

Job Responsibility:

Provide leadership and guidance to Wells Fargo Clearing Services Registered Investment Advisory program on various regulatory and policy requirements
Perform assessment and challenge the control environment covering investments and trading activities for discretionary accounts
Provide oversight and monitoring of business group risk-based compliance programs
Oversee the Front Line's execution and challenges appropriately on compliance related decisions
Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
Work with complex business units, rules and regulations on moderate to high-risk compliance matters
Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
Provide direction to the business on developing corrective action plans and effectively managing regulatory changes
Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines
Identify and recommend opportunities for process improvement and risk control development
Report findings and make recommendations to management or directors and appropriate committees
Make decisions and resolve issues to meet business objectives
Interpret policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Requirements:

7+ years of Compliance experience
Successfully completed Series 7 and 24
Advanced knowledge of the Investment Advisers Act of 1940 and related SEC and FINRA regulations
Excellent written and verbal communication skills
Demonstrated ability to help lead working group activities
Strong knowledge of overseeing the activities of an Investment Advisory Programs including Trading with Affiliates and other fiduciary conflicts of interest

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:
September 24, 2025

Expiration:
October 08, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Senior Lead Compliance Officer - Investment Advisory

Wells Fargo

Location:United States, SAINT LOUIS ▼CHARLOTTEIRVINGMINNEAPOLISTEMPEWEST DES MOINES

Category:Finance

Contract Type:Employment contract