Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director

About this role:

Wells Fargo is seeking a Senior Lead Compliance Officer to provide strategic and hands-on compliance oversight for Futures Commission Merchant (FCM) of Wells Fargo Securities, LLC activities within the Corporate & Investment Banking (CIB) Markets business.

This role will report to the head of Equities Compliance within the Corporate & Investment Banking (CIB) Markets Compliance team.

This role is accountable for leading a team of compliance officers, providing oversight to the business, and serving as a trusted advisor to Front Line stakeholders. The role will proactively partner with front office to support business activities, provide clear and practical regulatory guidance, and foster strong, collaborative relationships while ensuring adherence to regulatory expectations.

Success in this role requires a strong ability to influence, build trust, and establish strong, collaborative relationships with front office stakeholders, while effectively balancing regulatory requirements with business objectives in a dynamic and complex environment.

In this role, you will:

• Provide oversight and credible challenge to Front Line activities, actions, and new business initiatives while maintaining strong partnership with business stakeholders

• Lead and develop a team of compliance officers supporting FCM activities, ensuring high-quality execution, guidance, and development of talent

• Direct and oversee complex regulatory environments, including establishing standards and driving consistent program execution

• Lead the enhancement and execution of the FCM compliance program, ensuring alignment with regulatory expectations and business needs

• Act as a key advisor to business leadership and front office stakeholders on compliance-related matters, providing clear, practical, and risk-based guidance

• Drive effective engagement and collaboration across stakeholders, including business leadership, Legal, Audit, and Compliance, to support transparency and alignment

• Oversee enterprise compliance program elements related to this line of business, including compliance risk assessments, initiative management, metrics, and reporting

• Provide reporting on the state of compliance to executive leadership, committees, and senior management

• Foster an environment of open communication, partnership, and accountability across the three lines of defense

• Sustain a strong risk culture that identifies, escalates, and addresses existing and emerging compliance risks across business groups, legal entities, and jurisdictions

• Drive continuous improvement in compliance processes and stakeholder engagement, enhancing both effectiveness and efficiency of the compliance function

• Build and maintain strong working relationships with regulators and internal stakeholders to support effective compliance oversight

Required Qualifications:

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

Desired Qualifications:

• Deep experience in Futures Commission Merchant (FCM) activities, Expert-level knowledge of regulatory regimes including, but not limited to the CFTC, NFA, CME and associated compliance programs.

• Extensive experience designing and executing enterprise compliance programs, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training.

• Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.

• Significant experience operating in a business-facing compliance role, providing advisory support to front office or trading environments

• Proven ability to build, influence, and maintain strong relationships with business stakeholders, including front office leadership

• Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.

• Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.

• Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defin