Investment Adviser Career Center

About this role: Wells Fargo is seeking a Lead Compliance Officer to play a critical role within the Corporate & Investment Banking (CIB) Markets Compliance team. Reporting to the Head of Equities Compliance, this position offers the opportunity to influence business strategy, navigate complex regulatory requirements, and provide compliance oversight across the Equities business. Operating at the intersection of risk management, regulatory reporting, and front-office advisory, this role helps maintain a strong and effective compliance framework within a dynamic trading environment. In this role, you will: Provide oversight and monitoring of risk-based compliance programs supporting the Equities business. Serve as a trusted compliance advisor on business initiatives, regulatory matters, and activities involving moderate to high levels of risk. Act as the primary compliance liaison for trade and transaction regulatory reporting activities, including CAT, EBS,...

About this role: Wells Fargo is seeking a Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Markets Compliance team. Reporting to the Head of Equities Compliance, this role will provide second-line compliance oversight for the Futures Commission Merchant (FCM) activities of Wells Fargo Securities, LLC. This position plays a critical role in overseeing and advancing the Futures Commission Merchant (FCM) compliance program. The successful candidate will help ensure compliance with evolving regulatory requirements, provide independent oversight of trading and clearing activities, and serve as a trusted advisor to business leadership on key compliance and regulatory matters. In this role, you will: Provide second-line compliance oversight of Wells Fargo Securities' Futures Commission Merchant (FCM) activities. Execute and enhance the FCM compliance program, including risk assessments, monitoring, governance, reporting, and risk management...

Who We Are Addepar is a global data and AI platform empowering investment professionals to turn complex financial information into actionable intelligence. Addepar unifies portfolio, market and client data in a total portfolio view and delivers AI-powered insights within investment and client workflows. More than 1,500 firms in 60 countries use Addepar to manage and advise on nearly $10 trillion in assets. Its open platform integrates with 650 software, data and consulting partners to power end-to-end investment operations across firms of all sizes and levels of complexity. Addepar supports clients worldwide with offices in New York City, Salt Lake City, São Paulo, London, Edinburgh, Geneva, Warsaw, Dubai, Pune and Singapore. The Role We are seeking a Lead (Manager), Data Validation Specialist to oversee a team of Data Validation Specialists responsible for ensuring the accuracy and integrity of financial data during new client onboarding. You’ll manage daily...

Fidelity will not provide immigration sponsorship for this position. Job Description: The Role The Chief Compliance Officer (CCO) is responsible for the design, implementation, administration, and continuous enhancement of Impresa Management LLC's compliance program. You will be responsible for fostering a culture of compliance, integrity, and ethical conduct throughout the organization while ensuring adherence to applicable federal securities laws, regulations, fiduciary obligations, and internal policies. You will assist with governance, risk management, and oversight of the firm's wholly owned subsidiaries and affiliated entities, in addition to Impresa, providing guidance on a broad range of compliance issues, including conflicts of interest, trading, financial crimes, and privacy. Impresa Management LLC is an SEC-registered investment adviser that oversees private investment strategies across venture capital and private equity. The firm's venture capital...