Business Aligned Supervisory Officer - Regulation W - Executive Director

About this role:

Wells Fargo Corporate and Investment Banking (CIB) Markets COO division is seeking an Executive Director to join the CIB Markets Business Aligned Supervisory Support (BASS) team. This position will require deep product knowledge in Equities and Fixed Income as well as key regulations including Regulation W.

The successful candidate will report to the Head of BASS and will work closely with the Line of Business supervisors, Business Controls and COO teams as well as other support functions (e.g., Compliance, Testing, Risk, Operations, Technology, Legal, Audit and Human Resources). Their goal will be to help the Designated Supervisors to be more efficient and effective Supervisors by ensuring that there is a sound supervisory framework there are no gaps in supervision coverage, and the program is in compliance with applicable rules, regulations, and industry best practices. This is a hybrid role with some in office expectation.

In this role:

Candidate must be able to thrive in a dynamic, fast-paced and high-pressure environment. Primary responsibilities include the following:

• Provide trading/ compliance expertise together with others, maintaining global transparency and consistency (where appropriate) of roles, processes, and accountabilities, and enhance governance and associated documentation
• Work with control partners to identify control gaps, design, implement and track through issue remedial actions to close and continue to improve conduct and culture within the business and wider organization including but not limited to surveillance, conflicts of interest, and compliance with regulations, including Regulation W, etc.
• Provide input into Enterprise and Global Markets policies and procedures
• Represent Global Markets at various committees, forums, working groups and meetings as required
• Act as an escalation point for any items that require escalation, awareness, or approval.
• Interface with Regulatory agencies (e.g., OCC, FINRA, SEC, FCA...etc.) as required, representing the bank and to be accountable for ensuring regulatory concerns are appropriately and swiftly addressed

Required Qualifications:

• 7+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• A BS/BA degree or higher
• Ability to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
• Understanding of Market Abuse Risks and applicable rules and regulations across specific Sales and Trading business, including Regulation W
• In-depth knowledge of Supervision, Supervisory programs, role of a supervisor, obligations of a supervisory delegate and risks associated with such
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner
• Self-starter with ability to multitask, manage competing priorities, and effectively lead in a dynamic environment
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner
• Strong attention to detail and high quality standard for work
• Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed
• Inquisitive and proactive mindset with the ability to think creatively to solve problems and anticipate potential questions and issues
• Experience handling highly sensitive and confidential information utilizing sound judgement
• FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite; must be willing to obtain in a timely manner

Job Expectations:

• Ability to travel up to 10%

Posting Locations:

Charlotte, NC: 550 S Tryon

New York, NY: 30 Hudson Yards

Pay Ranges:

Charlotte, NC: $144,400 - $300,000

New York, NY: $144,400 - $300,000

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$144,400.00 - $300,000.00
Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:
12 Jun 2025

• Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.