About this role
Wells Fargo is seeking a Lead Compliance Officer to join the Broker Dealer Operations Compliance team. This role provides compliance oversight and risk management support across both Wealth & Investment Management (WIM) and Corporate & Investment Banking (CIB) Operations. The position will serve as a key compliance partner supporting operational processes, regulatory change management, monitoring activities, and business initiatives involving traditional and emerging financial products.
The successful candidate will have a strong understanding of broker dealer operations, securities regulations, and compliance risk management. Particular emphasis will be placed on supporting the firm's evolving digital asset strategy, including cryptocurrencies, stablecoins, tokenized assets, distributed ledger technologies, and related regulatory developments. This role will partner closely with business, legal, risk, technology, and operational teams to identify and mitigate compliance risks while enabling responsible innovation.
In this role, you will:
- Establish, implement, and maintain compliance risk standards and programs to support adherence with federal, state, agency, legal, regulatory, and corporate policy requirements.
- Provide compliance oversight and challenge to operational processes supporting broker dealer activities across WIM and CIB Operations.
- Serve as a compliance advisor for initiatives involving digital assets, cryptocurrencies, stablecoins, tokenized securities, distributed ledger technologies, and other emerging financial products.
- Monitor and assess regulatory developments related to digital assets and evaluate impacts to business operations and compliance programs.
- Provide oversight and monitoring of risk-based compliance programs, including surveillance, testing, and monitoring activities.
- Conduct compliance risk assessments and identify potential regulatory, operational, conduct, and reputational risks.
- Review and interpret SEC, FINRA, CFTC, NFA, OCC, Federal Reserve, and other applicable regulatory requirements.
- Partner with business stakeholders to develop and implement effective controls supporting new products, services, and operational processes.
- Support regulatory change management efforts by evaluating new laws, regulations, guidance, and enforcement trends.
- Monitor issue management activities and oversee timely remediation of compliance-related findings, control deficiencies, and regulatory matters.
- Provide subject matter expertise on broker dealer operations, securities regulations, and digital asset compliance considerations.
- Consult on strategic projects and initiatives involving moderate to complex compliance risk.
- Lead or participate in compliance reviews, investigations, and root cause analyses.
- Develop reporting and present compliance risk analyses, trends, and recommendations to management and governance committees.
- Interpret policies, procedures, and compliance requirements for business partners and operational teams.
- Identify opportunities for process improvement, control enhancement, and operational efficiencies.
- Collaborate effectively with compliance, risk, legal, audit, technology, and business stakeholders to achieve regulatory and business objectives.
- Exercise independent judgment in evaluating compliance risks and recommending appropriate risk mitigation strategies.
Required Qualifications:
- 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- Experience supporting broker dealer operations within Wealth Management, Capital Markets, or Institutional Brokerage environments.
- Knowledge of SEC, FINRA, MSRB, CFTC, NFA, and related regulatory requirements.
- Experience supporting digital asset, cryptocurrency, stablecoin, blockchain, tokenization, or distributed ledger initiatives.
- Ability to remain current on emerging regulatory developments involving digital assets, cryptocurrency markets, stablecoins, tokenization, and related financial innovations
- Understanding of regulatory frameworks applicable to digital assets and emerging payment technologies.
- Experience conducting compliance risk assessments and developing compliance monitoring activities.
- Strong understanding of operational controls, trade lifecycle processes, settlement, custody, cash management, and securities processing.
- Experience supporting new product approval processes and regulatory change management programs.
- CAMS, CRCM, Series 7, Series 24, or other relevant industry certifications.
- Experience presenting compliance risks and recommendations to senior management.
- Advanced proficiency with data analysis, reporting, and risk management tools.
- Ability to manage multiple priorities in a fast-paced and evolving regulatory environment.
- Demonstrated ability to build relationships and influence partners across all levels of the organization.
Job Expectations:
- Ability to work in a hybrid environment consistent with Wells Fargo policy.
- Limited travel may be required.
- Relocation assistance is not available for this position.
- This position is not eligible for visa sponsorship.
- This position is subject to FINRA Background Screening Requirements, including successful completion of a background check. Internal transfers must comply 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 must 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 comply with applicable policy requirements if hired. Additional information will be shared during the recruitment process .
Posting End Date:
27 Sep 2026
*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.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
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.