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,...

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...

  Location Designation:  Hybrid - 3 days per week      Role Overview:   This is a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life’s retail securities subsidiaries: NYLIFE Securities LLC, an introducing broker-dealer, and Eagle Strategies LLC, an SEC-registered investment adviser. Reporting directly to the Chief Compliance Officer of NYLIFE Securities LLC and Eagle Strategies, the Deputy CCO will be entrusted as the CCO’s second-in-command across the compliance program.   The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives. The...

Application Deadline: 06/19/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist in the effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  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 equity activities. The Capital Markets Senior Compliance Officer maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and...