# Head of Equities Compliance at Wells Fargo

Wells Fargo is hiring a Head of Equities Compliance in New York, United States. Level rates it Little AI ●○○○; you can [apply on Wells Fargo](https://jobsbylevel.com/go/8a82b752-5378-4d33-a27f-57ea18f965b0?utm_medium=ai-agent).

AI Level 1, AI centrality 38 out of 100. NEW YORK, NY.

## Details

- Company: [Wells Fargo](https://jobsbylevel.com/companies/wells-fargo)
- AI level: AI Level 1 (score 38 out of 100)
- Location: NEW YORK, NY
- Posted: October 29, 2026
- Apply: https://jobsbylevel.com/go/8a82b752-5378-4d33-a27f-57ea18f965b0?utm_medium=ai-agent
- Free CV review for this job: https://jobsbylevel.com/cv-review?job=head-of-equities-compliance-at-wells-fargo-6a320b

## Description

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

The description is cut here. Read the full offer: https://jobsbylevel.com/jobs/head-of-equities-compliance-at-wells-fargo-6a320b

Source: https://jobsbylevel.com/jobs/head-of-equities-compliance-at-wells-fargo-6a320b

## Cite this page

Level. https://jobsbylevel.com/jobs/head-of-equities-compliance-at-wells-fargo-6a320b.

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