Head of Equities Compliance

About this role:

Wells Fargo is seeking a Compliance Director to serve as Head of Equities Compliance within Corporate & Investment Banking (CIB) Markets. This senior leadership role will provide second-line compliance oversight across the Equities business and lead the team responsible for compliance coverage of Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.

The role will operate as a trusted advisor to Equities and CIB leadership while maintaining independent challenge and credible oversight. The leader will be accountable for identifying, assessing, escalating, and helping mitigate compliance risks; translating regulatory requirements into practical guidance; overseeing the Equities Compliance coverage model; and representing Compliance in governance, regulatory, and senior management forums.

In this role, you will:

• Lead and develop the Equities Compliance team, establish clear coverage accountabilities, and promote consistent, risk-based execution across the Equities platform.
• Maintain detailed knowledge of Equities products, services, business strategies, control environments, and relevant regulatory obligations.
• Serve as the primary Compliance partner to Equities leadership and a senior subject matter expert on regulatory requirements and internal policies applicable to Equities products, services, clients, and operating activities.
• Provide strategic and day-to-day compliance guidance across Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.
• Provide independent challenge and second-line oversight of business strategies, new products, significant transactions, client and market conduct matters, conflicts of interest, and changes to operating models or controls.
• Oversee the identification, assessment, escalation, and remediation of compliance risks, issues, incidents, control weaknesses, and regulatory concerns affecting the Equities business.
• Assess regulatory developments and enforcement trends, determine potential business and control impacts, and oversee timely implementation of required changes.
• Oversee Equities-related compliance risk assessments, monitoring, surveillance, testing coordination, metrics, management reporting, and issue management activities.
• Partner with Legal, Risk, Business Control, Internal Audit, and other Front Line-aligned Compliance teams to promote coordinated risk management and clear accountability.
• Work closely with Operations Compliance teams for Equities-related items, including customer safekeeping, margining, confirmations, and other relevant requirements.
• Lead Compliance support for regulatory examinations, inquiries, internal reviews, audits, and responses involving the Equities business.
• Prepare and present concise, decision-useful materials for senior management, governance committees, and other oversight forums.
• Escalate material compliance matters promptly and provide clear recommendations regarding risk acceptance, remediation, or business restrictions.
• Attract, retain, coach, and develop a high-performing team with strong technical expertise, sound judgment, and effective stakeholder management capabilities.
• Provide timely escalation and transparent reporting of material compliance risks, issues, and emerging concerns to appropriate governance and senior management forums.
• Oversee completion of compliance risk assessments, monitoring and surveillance activities, metrics, reporting, regulatory change management, and issue remediation for Equities.
• Engage directly with regulators and internal oversight functions, as appropriate, on matters affecting the Equities business.

Required Qualifications:

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

Desired Qualifications:

• Extensive compliance, legal, regulatory, or risk experience supporting institutional equities activities through one or more registered broker-dealers.
• Demonstrated knowledge of Cash Equities, Equity Derivatives, Equity Finance, and Prime Brokerage activities, and the regulatory framework applicable to U.S. broker-dealers.
• Experience leading a compliance function or a team responsible for complex, multi-product Markets coverage.
• Experience advising senior business leaders and providing credible challenge on significant regulatory, conduct, operational, and reputational risk matters.
• Experience with SEC, FINRA, and exchange requirements applicable to Equities and related activities.
• Experience leading regulatory examinations, investigations, audits, compliance reviews, risk assessments, monitoring, surveillance, and issue remediation.
• Strong judgment and the ability to analyze complex facts, identify material risks, make timely decisions, and communicate a clear compliance position.
• Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
• Effective executive communicator, both orally and in writing, with the ability to present complex issues clearly and influence timely decision-making.
• Proven ability to cultivate relationships and collaborate across business, Legal, Risk, Operations, Business Control, Internal Audit, and Compliance stakeholders.
• Demonstrated ability to lead through change, set priorities, allocate resources, and develop talent in a fast-paced regulatory environment.

Job Expectations:

• Willingness to work on-site at stated location on the job opening.
• Not Eligible for Visa Sponsorships
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process

Pay Range

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• 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

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.