Investment Adviser Career Center

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...

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Business Line Compliance Officer based in the United States. This role is a high-impact compliance advisory position supporting investment banking and capital markets activities within a fast-paced, regulated financial environment. You will act as a front-line compliance partner to client-facing business lines, ensuring that trading, advisory, and capital markets activities align with applicable securities regulations and internal policies. The role combines regulatory expertise with hands-on advisory work, requiring close collaboration with senior stakeholders across business and control functions. You will help shape compliance frameworks, enhance supervisory controls, and support the development of policies that strengthen risk management across private-side activities. In addition, you will contribute to marketing and...

State Street Investment Management (SSIM) is seeking a Client Contracting Analyst to provide execution and support across North America client contracting activities. This role is responsible for supporting the end-to-end coordination and delivery of contracting processes for institutional clients, including traditional Investment Management mandates and Transition Management engagements. This role requires a combination of contract analyst and paralegal capabilities, with a focus on reviewing, interpreting, and managing complex client agreements, ensuring alignment with legal, regulatory, and business requirements. Building on the established scope of the Client Contracting function, this position places increased emphasis on front-to-back contracting execution, product-specific documentation, and support for time-sensitive Transition Management events, where speed, accuracy, and risk oversight are critical to successful delivery. Organizational Context The Client...

Third Party Risk Management (TPRM) is a global, cross-functional program spanning all business units and legal entities, requiring coordinated engagement across Procurement, the First Line of Defense (business), and the Second Line of Defense. Business units are responsible for managing risk associated with third-party relationships throughout the lifecycle, while Corporate TPRM provides governance, standards, and oversight. Procurement enables the sourcing, contracting, and onboarding of third-party vendors, supporting the execution of business needs. Within this framework, the Investment Management (IM) Vendor Engagement & Third-Party Risk team operates at the intersection of the First Line and Second Line, enabling and supporting the business in the execution and onboarding of third-party activities while ensuring alignment with TPRM and Procurement policies and program requirements. The team serves as a central coordination point across Investment Management, Corporate...