CrawlJobs Logo
Wells Fargo Logo Wells Fargo · Finance

Senior Lead Compliance Officer - Prime Brokerage & Equities

United States, New York Employment contract 191000.00 - 305000.00 USD / Year · Job Posted June 03, 2026

Job offer has expired

Job Link Share

Job Description

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.

Job Responsibility

  • 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

Requirements

  • 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 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

Nice to have

  • 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

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
Wells Fargo - All Job Offers

Looking for more opportunities?

Search for other job offers that match your skills and interests.

Suggested Tags: Frontend Developer Secretary Talent Manager Salesforce Administrator Data Analyst
Similar Jobs for

Senior Lead Compliance Officer - Prime Brokerage & Equities

8 matching positions

New

It Project Technology Lead

Prime Services Technology Project Manager / Business Analyst. The Technology Pro...
Location
Location
Canada , Mississauga
Salary
Salary:
120800.00 - 170800.00 USD / Year
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 6+ years of experience in technology project management, business analysis, or delivery leadership within a Capital Markets environment
  • Experience in Capital Markets products including Prime Brokerage Cash, Prime Brokerage Synthetics, Equities Finance, Futures, and OTC Clearing
  • Familiarity with regulatory reporting frameworks such as EMIR and MiFID
  • Demonstrated ability to manage complex, high-impact delivery programs across matrixed organizations, aligning diverse teams and driving outcomes across cross-regional workstreams
  • Ability to engage and influence senior leaders through clear communication, synthesized reporting, and confident decision-framing
  • Experience applying AI and automation tools within project management or business analysis workflows, with awareness of emerging AI use cases in technology delivery functions
  • Background in data management best practices including data lineage, data quality controls, and governance frameworks
  • Proficiency with enterprise delivery tooling including Jira, Confluence, and SharePoint, MS Office (Excel, PowerPoint, Word, MS Project and Visio) alongside Agile and SDLC methodologies
  • Bachelor's degree/University degree or equivalent experience
Job Responsibility
Job Responsibility
  • Lead end-to-end delivery of strategic technology programs across Prime Services, translating business and regulatory priorities into clear roadmaps, delivery plans, and milestone-driven schedules
  • Partner with cross-functional teams spanning Markets Business, Markets Transformation, Enterprise Data Office, Risk, Finance, and Compliance to align project scope with business objectives
  • Conduct detailed business analysis to define requirements, produce project artifacts including Business Requirements Documents and Test Strategies, and coordinate testing, release, and implementation activities
  • Work with technology, vendor, and support teams to plan, oversee, and implement solutions, ensuring critical deliverables are met against target dates
  • Drive data management initiatives with a focus on data lineage, data controls, and regulatory compliance, contributing to enterprise data governance strategy and standards
  • Identify, assess, and mitigate delivery risks, dependencies, and blockers across multi-workstream programs, escalating issues and driving resolution with urgency
  • Lead governance routines, steering committees, and executive decision forums, communicating project strategy, risk exposure, and design recommendations to senior stakeholders
  • Leverage AI-enabled tools and automation to improve delivery discipline, reporting accuracy, and productivity across project and business analysis activities
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
  • Fulltime
Read More
Arrow Right

Manager / Senior Manager - Financial Services Consulting - Information Technology

Location
Location
Hong Kong , Hong Kong
Salary
Salary:
Not provided
Forvis Mazars
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • University degree majoring in Finance, Accounting, Business, Legal, Information Systems, Computer Science/ Engineering or related subjects
  • Minimum 4-5 years’ experience gained in professional services firms, commercial banks or other financial institute experience will be an advantage
  • Demonstrate good analytical, problem solving and presentation skills. Flexible, self-starter possessing intellectual curiosity. Effective time and project management with excellent interpersonal skills
  • Keen on career development on any of the following areas: financial services regulatory consulting, compliance, governance and internal controls, risk management, operational / technology risk management, business & system processes review, internal audit, cyber-security and business consulting
  • Interested in gaining experience in any of the following industries: Banking and capital markets (client on-boarding / KYC / AML / investment product suitability and other regulatory compliance, front office activities in products / sales channels, middle and/or back office control, operational / technology risk management – commercial banking, private banking, investment banking)
  • Asset management (distribution channels, controls and processes – prime brokerage, fund administration, fund management (retail, institutional, and/or real estate / private equity, etc.))
  • Digital asset management/ trading (Cybersecurity, custodian management, licensing requirements)
  • Insurance (underwriting, claims, reserving, Solvency II, policy administration systems – general or life insurance)
  • Payment industry (Cybersecurity, settlement and clearing)
  • Ability to identify and assess business process controls and linkage to IT systems
Job Responsibility
Job Responsibility
  • Lead a client-centric advisory team in financial services industry
  • Support the development on consulting engagement plans and project approaches, analyse client’s current business processes and understanding the risk management environment for financial institutions
  • Support the planning, execution and delivery of consulting engagements covering regulatory, operational and IT advisory with FS clients in areas such as client onboarding, KYC, AML, system architecture/ pre- or post-implementation, reviews
  • IT regulatory & licensing reviews (e.g. cybersecurity requirements on C-RAF and iCAST requirements, IS guideline, MCRA membership application, etc.)
  • Utilise your skills in the areas of structured problem solving, business analysis, analytics, design thinking and lean process improvement to help our FS clients drive profitability and performance through their business operations
  • Use of technology and data including FinTech/ RegTech/ InsuTech innovation with respect to financial institutions to promote innovation and achieve regulatory compliance
  • Support change management including the revision or formulation of new policies, systems and controls aligned with regulatory requirements and regulators’ expectations
  • Plan, execute and communicate with engagement stakeholders of the financial institutions
  • Identify current and emerging trends of regulatory requirements for the financial services sector in Hong Kong, Singapore, Mainland China and other Asian markets and global regulatory expectations
What we offer
What we offer
  • medical and dental insurance
  • life insurance
  • a 5-day working week
  • discretionary performance bonus
  • birthday leave
  • marriage leave
  • Fulltime
Read More
Arrow Right

APAC Prime Finance and FDC (Futures & Derivatives Clearing) Risk Manager

Citi is seeking a senior In-Business Risk (IBR) professional to join the APAC Eq...
Location
Location
Hong Kong , Hong Kong
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Extensive front-office risk management experience (1LoD) in an institutional setting
  • 15+ years in financial services preferred, with experience leading analytical teams preferred
  • Subject matter expertise in Prime Brokerage and FXPB platforms, including cash and synthetic prime, equity delta one, and secured financing structures
  • Ability to work well with cross-functional teams from Product, Sales, Credit, Risk, Technology, Operations, Legal and Compliance
  • Working knowledge of Cash Equities, Futures, OTC Clearing, and QIS, including systematic and factor-based investment approaches
  • Experience with Prime Brokerage and Listed derivatives client documentation (PBAs, ISDAs, CSAs, Clearing Agreements, Market specific clearing agreements) and negotiating term agreements
  • Previous client-facing experience with hedge funds and institutional counterparties, including APAC-based clients
  • Experience engaging with regulators (e.g., MAS, SFC, HKMA) on risk management-related issues preferred
  • Exceptional analytical and quantitative modelling skills with strong attention to detail
  • Scenario stress testing acumen
Job Responsibility
Job Responsibility
  • Oversee daily client portfolio exposures to ensure risks are controlled, optimally sized, and within approved limits
  • Serve as a senior escalation point for counterparty risk events, emerging credit concerns, and crisis management across all covered business lines
  • Facilitate new client trades and manage existing portfolio exposures, ensuring market-driven counterparty risk, documentation, legal, and reputational risks are well-controlled
  • Interface directly with clients to help Citi grow the platform
  • participate in client pitches, term negotiations, and ongoing dialogue to support risk-efficient returns growth
  • Work closely with Sales and Client Onboarding teams to ensure appropriate risk frameworks are in place from inception
  • Perform trade and portfolio risk analysis incorporating scenario stress testing, sensitivity analysis (Greeks, VaR, liquidation costs), and margin adequacy assessments
  • Formulate views on product risk appetite
  • review and challenge business stakeholder requests with a balanced risk-reward perspective
  • Establish and maintain limit structures and governance processes to ensure clients operate within approved risk parameters
  • Fulltime
Read More
Arrow Right

Senior VP, Fund Controller – Public & Private Markets

A leading investment platform is seeking a Senior VP, Fund Controller to oversee...
Location
Location
United States , Boston
Salary
Salary:
200000.00 - 240000.00 USD / Year
daleyaa.com Logo
Daley and Associates
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 12+ years of hedge fund accounting or fund finance leadership experience
  • Deep expertise in daily NAV, middle office, and hedge fund tax reporting
  • Strong knowledge of US GAAP and hedge fund structures
  • Experience with derivatives and prime brokerage environments
  • Proven ability to manage administrators and external providers
  • CPA strongly preferred
Job Responsibility
Job Responsibility
  • Lead fund accounting across hedge funds and public equity vehicles
  • Oversee daily, monthly, and quarterly NAV processes (P&L, allocations, accruals, capital activity)
  • Ensure accurate accounting for equities, options, futures, swaps, forwards, and other derivatives
  • Manage third-party administrators with a focus on controls, trade-level accuracy, and issue resolution
  • Oversee middle office operations (trade capture, reconciliations, corporate actions, financing activity)
  • Drive process improvements and automation to support platform growth
  • Lead hedge fund tax compliance and investor reporting (including K-1 oversight)
What we offer
What we offer
  • 30% bonus
  • Fulltime
Read More
Arrow Right

Team Assembler

In this role, you will work on the assembly line as part of a collaborative team...
Location
Location
United States , Batesville
Salary
Salary:
21.58 USD / Hour
https://www.baxter.com/ Logo
Baxter
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • High School Diploma or (GED) General Education Degree
Job Responsibility
Job Responsibility
  • Assemble various parts and components in prescribed sequence and location
  • Visually check and inspect work to ensure proper quality
  • Perform all adjustments, rework and repairs as necessary
  • Test for quality as required
  • Responsible for both quality and quantity of work: Participate in team activities and problem solving sessions as required
  • Communicate problems and/or solutions to appropriate team member
  • Must follow processes and procedures as written
  • As needed, document and/or chart production data to aid in problem identification, quality feedback and production scheduling
  • Assist other team members duties to ensure quality product and smooth flow
  • Troubleshoot problems when necessary
What we offer
What we offer
  • Medical and dental coverage that start on day one
  • Basic life, accident, short-term and long-term disability, and business travel accident insurance
  • Employee Stock Purchase Plan (ESPP), with the ability to purchase company stock at a discount
  • 401(k) Retirement Savings Plan (RSP), with options for employee contributions and company matching
  • Flexible Spending Accounts
  • Educational assistance programs
  • Paid holidays
  • Paid time off ranging from 20 to 35 days based on length of service
  • Family and medical leaves of absence
  • Paid parental leave
  • Fulltime
Read More
Arrow Right

Head of Marketing

An ambitious and growing business is looking to appoint a commercially focused H...
Location
Location
United Kingdom , Kendal
Salary
Salary:
47000.00 - 52500.00 GBP / Year
mccarthyrecruitment.com Logo
McCarthy Recruitment
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Proven experience in a senior marketing or Head of Marketing role with clear commercial impact
  • Strong background in performance marketing and revenue growth
  • Highly analytical, with a deep understanding of marketing metrics and attribution
  • Hands-on experience across digital channels and growth funnels
  • Experience working across multiple stakeholders or within a matrix-style organisation
  • Strong leadership and stakeholder management skills
  • Ability to balance strategic thinking with hands-on execution
Job Responsibility
Job Responsibility
  • Owning and delivering the marketing contribution to revenue, pipeline, and profitability
  • Executing growth strategies aligned to wider business objectives
  • Managing and optimising marketing budgets with a clear focus on ROI and performance
  • Building a data-driven marketing engine with testing, optimisation, and clear reporting
  • Owning key metrics including CAC, LTV, conversion rates, and attribution modelling
  • Leading multi-channel acquisition strategies (paid media, SEO, email, partnerships, content)
  • Driving campaign planning, execution, and performance analysis across the full funnel
  • Developing insight-led, targeted campaigns based on customer and market data
  • Partnering with senior stakeholders and commercial teams to align on targets and delivery
  • Leading and influencing a marketing function, including external agencies and internal partners
  • Fulltime
Read More
Arrow Right

Paralegal

We’re seeking a skilled Paralegal to join our client’s leading family law firm i...
Location
Location
United States , Chicago
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum of 1 year as a family law paralegal
  • Ability to prioritize tasks and multitask effectively in a fast-paced environment
  • Excellent organizational and communication skills
Job Responsibility
Job Responsibility
  • Organize and manage legal documents for client files and court proceedings
  • Coordinate schedules for attorneys, court reporters, and client meetings to ensure smooth operations
  • Prepare and set up virtual meetings for court appearances and conferences
  • Draft and file legal documents and pleadings with accuracy and attention to detail
  • Maintain and update docketing systems to track court dates, deadlines, and other critical events
  • Assist in discovery processes, including gathering and organizing relevant information
  • Create and manage financial affidavits to support case requirements
  • Collaborate with attorneys to ensure timely preparation for mediations, trials, and other legal proceedings
  • Utilize case management software to streamline document handling and communication
  • Communicate effectively with clients, attorneys, and external parties to facilitate case progress
What we offer
What we offer
  • medical
  • dental
  • vision
  • 401(k) with match
  • paid time off
  • holidays
  • Fulltime
Read More
Arrow Right

Defense Litigation Attorney

A mid-sized, full-service law firm with a strong reputation in defense litigatio...
Location
Location
United States , Tampa Bay Area
Salary
Salary:
130000.00 - 170000.00 USD / Year
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Active admission to the Florida Bar is required
  • At least 3 years of litigation experience in a law firm or comparable legal environment
  • Background in nursing home or long-term care defense is strongly preferred
  • Experience in medical malpractice defense or insurance defense will also be considered
  • Demonstrated ability to manage discovery, draft motions, and handle briefing in contested matters
  • Strong oral advocacy and written communication skills, including experience with depositions and court appearances
  • Ability to analyze complex records, develop case strategy, and manage matters independently while collaborating with a broader team
Job Responsibility
Job Responsibility
  • Handle a nursing home / long-term care defense caseload from inception through resolution
  • Manage matters including discovery, depositions, motions, mediations, and court appearances
  • Work closely with clients on case strategy, risk assessment, and resolution planning
  • Review and analyze medical records and develop effective defense strategies
  • Collaborate with a tight-knit local team while leveraging the resources of a larger platform
  • Opportunity to take on increasing responsibility and leadership within the office
What we offer
What we offer
  • Discretionary bonus potential
  • Competitive benefits package
  • Medical, vision, dental, and life and disability insurance
  • Company 401(k) plan
  • Free online training
  • Fulltime
Read More
Arrow Right