# Principal Compliance Officer (Prime Brokerage) at Wells Fargo

Wells Fargo is hiring a Principal Compliance Officer (Prime Brokerage) in New York, United States. Level rates it Little AI ●○○○; you can [apply on Wells Fargo](https://jobsbylevel.com/go/e66349d4-63d5-4e63-84ce-190485d47688?utm_medium=ai-agent).

AI Level 1, AI centrality 39 out of 100. NEW YORK, NY.

## Details

- Company: [Wells Fargo](https://jobsbylevel.com/companies/wells-fargo)
- AI level: AI Level 1 (score 39 out of 100)
- Location: NEW YORK, NY
- Posted: November 13, 2026
- Apply: https://jobsbylevel.com/go/e66349d4-63d5-4e63-84ce-190485d47688?utm_medium=ai-agent
- Free CV review for this job: https://jobsbylevel.com/cv-review?job=principal-compliance-officer-prime-brokerage-at-wells-fargo-4d30b4

## Description

About this role: Wells Fargo is seeking a Principal Compliance Officer to provide senior-level, second-line compliance leadership for its Equities business within Corporate & Investment Banking. The role will oversee compliance coverage of Wells Fargo’s Prime Brokerage business and serve as a trusted advisor to senior business and control leaders. This highly visible position will help guide the continued growth of the Prime Brokerage platform, advise on new products and business initiatives, and provide credible challenge on complex regulatory, conduct, operational, and reputational risks. The successful candidate will bring deep broker-dealer compliance expertise and the ability to translate regulatory requirements into practical, scalable business solutions. In this role, you will: Act as a recognized Compliance subject matter expert for a line of business, function, or Level 2 compliance risk type, leading complex, innovative, and diverse initiatives with broad cross-functional impact, high risk, or significant scope, cost, and benefits Lead execution of the compliance strategy set by senior leadership for the most complex and significant compliance challenges within a line of business, function, or risk type, independently identifying and resolving gaps, roadblocks, and opportunities through vision, innovation, advanced analytical thinking, and coordination of highly complex activities Oversee the Front Line’s execution of compliance requirements for an assigned line of business, function, or risk type, including adherence to applicable laws, regulations, regulatory expectations, corporate policies, and risk program requirements Exercise independent judgment to make strategic decisions and independently challenge Front Line compliance-related decisions, risk assessments, controls, execution plans, issue remediation, and governance practices on high-risk matters to help ensure outcomes are appropriate, sustainable, and risk-aligned Establish, interpret, and influence compliance standards, risk management expectations, regulatory change strategies, corrective action plans, and issue remediation approaches for the most complex matters Monitor, assess, and challenge reporting, escalation, and timely remediation of significant compliance issues, deficiencies, emerging risks, and regulatory matters Drive alignment across Compliance, Front Line, Legal, Risk, Audit, and other internal partners to resolve highly complex compliance matters and strengthen enterprise risk management outcomes Serve as an expert advisor to senior leaders and executives by translating complex regulatory, legal, policy, and industry developments into practical compliance risk management strategies; lead through influence, matrixed teams, and cross-functional workstreams, and provide thought leadership, guidance, and mentorship to senior professionals Prepare and present materials for Risk sub-committees, regulators, or executive leadership within area of expertise, and represent Wells Fargo, as appropriate, in regulatory, industry, or technical forums, incorporating external insights into compliance strategy and oversight practices. 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 Desired Qualifications: Deep expertise in U.S. broker-dealer compliance frameworks and SEC, FINRA, and exchange requirements applicable to Equities and Prime Brokerage. Advanced product knowledge across Prime Brokerage, Equity Derivatives, Equity Finance, and securities lending. Direct compliance experience supporting a full-service Prime

The description is cut here. Read the full offer: https://jobsbylevel.com/jobs/principal-compliance-officer-prime-brokerage-at-wells-fargo-4d30b4

Source: https://jobsbylevel.com/jobs/principal-compliance-officer-prime-brokerage-at-wells-fargo-4d30b4

## Cite this page

Level. https://jobsbylevel.com/jobs/principal-compliance-officer-prime-brokerage-at-wells-fargo-4d30b4.

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