About this role:Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions team within Wealth and Investment Management Compliance to focus on SEC Registered Investment Advisory Programs and Products.
Learn more about the career areas and lines of business at wellsfargojobs.com.
In this role, you will:- Provide leadership and guidance to Wells Fargo Clearing Services Registered Investment Advisory program on various regulatory and policy requirements covering investments and product development.
- Perform assessment and challenge the control environment covering investments and trading activities for discretionary accounts to help ensure adequately designed for regulatory compliance.
- Provide oversight and monitoring of business group risk-based compliance programs
- 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 changes
- 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
- 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
Required Qualifications, US:- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:- Successfully completed Series 7 and 24
- Advanced knowledge of the Investment Advisers Act of 1940 and related SEC and FINRA regulations.
- Excellent written and verbal communication skills.
- Demonstrated ability to help lead working group activities.
- Strong knowledge of overseeing the activities of an Investment Advisory Programs including Trading with Affiliates and other fiduciary conflicts of interest.
Job Expectations:- This position offers a hybrid work schedule
- This position is not eligible for VISA sponsorship
Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$159,000.00 - $279,000.00
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:8 Oct 2025
* Job posting may come down early due to volume of applicants. We Value Equal OpportunityWells 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells 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.
