Investment Adviser Career Center

About this role:   Wells Fargo is seeking a Senior Counsel to join the legal team supporting its Wealth and Investment Management (WIM) division.  This Senior Counsel will support the legal and regulatory aspects of distributing registered investment companies and private investment funds. This role will work closely with business, compliance, and product teams to provide practical, business‑oriented legal advice on U.S. distribution channels and regulatory requirements. The ideal candidate will have deep familiarity with the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules governing distribution activities across retail, institutional, and intermediary platforms. In this role, you will: Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation...

Job Description: Chief Compliance Officer, Green Pier Fintech The Role The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory and compliance matters. The CCO will develop, implement, and oversee all aspects of Green Pier’s broker-dealer compliance program. This role serves as a strategic partner to the business, aligning compliance frameworks with commercial objectives to enable responsible growth and innovation. The CCO will liaise with federal and state regulators, manage regulatory exami nations, and oversee comprehensive compliance reporting to senior management. The role also includes leading and mentoring a team of compliance professionals. This role reports to the Chief Compliance Officer for Enterprise Services. The Expertise and Skills You Bring Bachelor’s degree required; advanced degree preferred. 10 years of broker-dealer legal and/or compliance...

Application Deadline: 05/15/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Equities Compliance Vice President will assist in effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  The Equities Compliance Vice President will be expected to have functional knowledge of a host of equity topics, such as, FINRA Rules 2210, 3130, 5310, as well as SEC Rules 605/6, 15c3-5. The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.  This role will have a specific focus on compliance oversight over BMO’s Capital Markets and...

Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow. We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life: We are stronger as one: We collaborate across the enterprise, scale what works and act    decisively for our customers and partners. We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders. We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future. We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work. Who You’ll Work With Corebridge’s Investments Compliance team is a corporate function that provides...