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Senior Lead Compliance Officer - Prime brokerage Compliance Executive Director

Wells Fargo

Location:
United States , New York

Category:
Finance

Contract Type:
Not provided

Salary:

191000.00 - 305000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Lead Compliance Officer within (CIB)Corporate Investment Banking Markets Compliance Groups.

Job Responsibility:

Provide oversight and governance of a business group or manage companywide compliance programs
Establish, implement and maintain 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
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 change
Develop, oversee, and provide expert business and regulatory compliance functional knowledge
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
Consult and engage business on developing corrective action plans and effectively managing regulatory change
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, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Experience providing compliance coverage for a full-service prime brokerage and institutional clearing platform
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)
Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results
Strong written and oral communication skills, including the ability to prepare reporting for senior management and regulatory authorities

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:
March 03, 2026

Expiration:
March 09, 2026

Employment Type:

Fulltime

Work Type:

On-site work

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