Wells Fargo
Executive Director – Prime Brokerage & Equities Compliance
$191K–$305K
NEW YORK, NY · Director · Full-time · Posted Oct 28, 2026
- Experience
- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, or education.
- Visa sponsorship
- Not Eligible for Visa Sponsorships.
About the job
Advises Wells Fargo leaders on compliance and regulatory risks while supporting the growth and strategic expansion of its Prime Brokerage, Cash Equities, and broker-dealer businesses.
What you'll do
- Provide risk-based compliance guidance and credible challenge on business decisions, products, initiatives, and emerging risks.
- Lead regulatory engagements, examinations, audits, governance enhancements, and issue remediation.
- Strengthen compliance controls and governance in collaboration with Front Office, Risk, Legal, Operations, and Audit.
What they ask for
- 7+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education.
Nice to have
- Experience supporting a full-service Prime Brokerage platform, including financing, securities lending, margin, and institutional clearing.
- Broker-dealer compliance expertise, especially Equities Finance rules; knowledge of RCSA, swap dealer rules, Volcker, and banking regulations; and experience with cash equities, regulatory exams, audits, or remediation.
Pay
USD 191,000.00 - USD 305,000.00 base salary
Tools
RCSA, Regulation T, SEC Rule 15c3-3, Volcker, Reg W, Reg U
Model-written summary · the original posting is authoritative