Lead Compliance Officer | Equities Trading Compliance

About this role:

Wells Fargo is seeking a Lead Compliance Officer to play a critical role within the Corporate & Investment Banking (CIB) Markets Compliance team. Reporting to the Head of Equities Compliance, this position offers the opportunity to influence business strategy, navigate complex regulatory requirements, and provide compliance oversight across the Equities business. Operating at the intersection of risk management, regulatory reporting, and front-office advisory, this role helps maintain a strong and effective compliance framework within a dynamic trading environment.

In this role, you will:

• Provide oversight and monitoring of risk-based compliance programs supporting the Equities business.

• Serve as a trusted compliance advisor on business initiatives, regulatory matters, and activities involving moderate to high levels of risk.

• Act as the primary compliance liaison for trade and transaction regulatory reporting activities, including CAT, EBS, LOPR, TRF, TRACE, and SDR reporting.

• Execute oversight and monitoring activities related to regulatory reporting governance, controls, and reporting processes, providing effective second-line challenge to the Front Line.

• Establish and maintain compliance risk standards, controls, and programs to support adherence to applicable laws, regulations, and corporate policies.

• Monitor the identification, escalation, and timely remediation of compliance issues, regulatory matters, and control deficiencies.

• Advise business partners on regulatory developments, compliance requirements, and corrective action plans.

• Lead compliance risk assessments, metrics, reporting, and governance activities, including presenting findings and recommendations to management and governance committees.

• Partner with Audit, Legal, Risk, and regulatory agencies on compliance-related matters.

• Provide compliance advisory coverage to Equities sales and trading businesses and support execution of the Equities Compliance Program, including maintenance of the compliance risk management framework.

Required Qualifications, US:

• 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

• 2+ years of experience supporting compliance with Consolidated Audit Trail (CAT) reporting.

Desired Qualifications:

• In-depth knowledge of transaction reporting rules and technical requirements for LOPR, EBS, TRF, TRACE, and SDR.

• Working knowledge of equity cash and derivatives products, including applicable rules and regulations.

• Experience working in a trading floor environment and providing real-time compliance guidance to the business.

• Working knowledge of the Risk and Control Self-Assessment (RCSA) process.

• Excellent verbal and written communication skills.

• Demonstrated flexibility, sound judgment, analytical thinking, problem-solving capabilities, and the ability to manage multiple priorities.

• Ability to clearly communicate regulatory guidance to stakeholders at all levels, including senior management, in a fast-paced environment.

• Ability to analyze and interpret complex regulations and transactions.

Job Expectations:

• Willingness to work on-site at stated location on the job opening.

• This position currently offers a hybrid work schedule.

• This position is not eligible for Visa sponsorship.

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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 should 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 abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Work Locations:

• 30 Hudson Yards - New York, New York. 10001

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

$143,000.00 - $224,000.00

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:

20 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.

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.