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.

Inthis 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.

Posting End Date:

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