Wells Fargo
Head of Equities Compliance
$185K–$300K
NEW YORK, NY · Director · Full-time · Posted Oct 29, 2026
- Experience
- 10+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education; 4+ years of management or leadership experience.
- Visa sponsorship
- Not Eligible for Visa Sponsorships
About the job
Leads second-line compliance oversight for Wells Fargo’s Equities business, advising leadership and managing compliance coverage, risk oversight, and regulatory engagement.
What you'll do
- Lead and develop the Equities Compliance team and oversee its risk-based coverage model.
- Provide independent oversight and guidance across Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage, including risk assessment, monitoring, issue remediation, and regulatory change.
- Represent Compliance in governance and regulatory forums, and lead support for examinations, inquiries, audits, and internal reviews.
What they ask for
- 10+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, education.
- 4+ years of management or leadership experience.
Nice to have
- Extensive compliance, legal, regulatory, or risk experience supporting institutional equities activities through one or more registered broker-dealers.
- Knowledge of Equities activities and the U.S. broker-dealer regulatory framework, including SEC, FINRA, and exchange requirements.
Pay
USD 185,000.00 - USD 300,000.00 base salary
Model-written summary · the original posting is authoritative