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Senior Counsel, Investments
FM
Hybrid (Boston, MA)
May 01, 2026
Summary: Reporting to the Assistant General Counsel, Corporate Transactions, this Senior Counsel role supports the Company’s Investments group by providing end-to-end strategic guidance and legal support for a wide range of investment transactions. These transactions include private fund investments, direct investments, managed accounts across asset classes as well as derivatives transactions and pension plan investments.  The Senior Counsel will also play a critical role in supporting the Company’s M&A activity. This position requires a collaborative mindset, with focus on solutions and the ability to build constructive relationships with senior management and across Company stakeholders.  This position will be instrumental in managing risks and maintaining strong legal standards within the growing FM Investments portfolio.   Schedule & Location: This is a full-time office-based position in Boston, MA. Occasional overnight travel to other corporate...
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Director of Policy and Regulatory Affairs
XY Planning Network
Remote
Jun 04, 2026
XYPN is a leading voice for independent, fee-only financial planners, and advocates for modernized regulation that elevates fiduciary financial planning, separates sales from advice, protects investors, and reduces unnecessary burdens on small advisory firms. With a network of more than 2,200 fee-only financial planners and experience registering more than 2,000 investment advisers nationwide, we support firms across all 50 states and the SEC, giving us unique insight into the regulatory and operational challenges faced by independent RIAs operating across multiple jurisdictions. As XYPN’s Director of Policy and Regulatory Affairs, you’ll translate our deep expertise into meaningful advocacy and regulatory influence. You’ll work closely with our Managing Director of Compliance and Regulatory Affairs to shape and execute XYPN’s advocacy roadmap, leading efforts to monitor State & federal regulatory developments, develop policy positions, build relationships with...

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Featured
Director of Policy and Regulatory Affairs
XY Planning Network
Remote
Jun 04, 2026
XYPN is a leading voice for independent, fee-only financial planners, and advocates for modernized regulation that elevates fiduciary financial planning, separates sales from advice, protects investors, and reduces unnecessary burdens on small advisory firms. With a network of more than 2,200 fee-only financial planners and experience registering more than 2,000 investment advisers nationwide, we support firms across all 50 states and the SEC, giving us unique insight into the regulatory and operational challenges faced by independent RIAs operating across multiple jurisdictions. As XYPN’s Director of Policy and Regulatory Affairs, you’ll translate our deep expertise into meaningful advocacy and regulatory influence. You’ll work closely with our Managing Director of Compliance and Regulatory Affairs to shape and execute XYPN’s advocacy roadmap, leading efforts to monitor State & federal regulatory developments, develop policy positions, build relationships with...
Chief Compliance Officer
Tyree and D'Angelo Partners
Dallas, TX
Jun 04, 2026
  Position Title:      Chief Compliance Officer Reporting To:       CEO Location:              Dallas, Texas (in-person strongly preferred) Company:            TDP Confidential Portfolio Company   Private Equity Firm Overview Tyree & D’Angelo Partners (“TDP”) is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved.  TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value.  TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information.   Confidential Portfolio Company Overview TDP has invested in a confidential portfolio company in the wealth management industry.  The...
Senior Lead Compliance Officer - Prime Brokerage & Equities
Wells Fargo & Company
New York, NY
Jun 04, 2026
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to support the continued growth of its Prime Brokerage platform within Corporate & Investment Banking (CIB). The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales. This is an individual contributor role. In this role, you will: Provide compliance coverage for the Prime Brokerage business , including support for Prime Brokerage growth and expansion Partner closely with business leaders to deliver day-to-day advisory and oversight Offer flexible compliance support across Cash Equities and broker-dealer activities , including special projects and expanded responsibilities Interpret and advise on SEC,...
Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director
Wells Fargo & Company
New York, NY
Jun 04, 2026
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...
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