Executive Director – Futures Commission Merchant Compliance

Vista previa de la oferta

Executive Director – Futures Commission Merchant Compliance

lead · Risk & Compliance

Shape the future of compliance at the center of global markets.

Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to lead compliance oversight for the Futures Commission Merchant (FCM) business within Wells Fargo Securities and the Corporate & Investment Banking (CIB) Markets organization.

This is a highly visible leadership opportunity for a compliance professional who thrives in fast-paced, complex markets environments and enjoys serving as a strategic advisor to senior business leaders. You'll lead a team of experienced compliance professionals, influence critical business initiatives, and help drive a strong culture of risk management while enabling growth and innovation.

Working directly with front office leaders, Legal, Audit, and regulators, you'll play a key role in shaping compliance strategy, navigating evolving regulatory expectations, and ensuring the business remains well-positioned for future success.

What You'll Do:

• Lead and elevate the FCM Compliance Program, driving strategic oversight across a critical and highly regulated business.

• Serve as a trusted advisor to senior Markets and Front Office leaders, providing practical, risk-based guidance on business initiatives and regulatory matters.

• Build, mentor, and develop a high-performing team of compliance professionals while fostering a culture of collaboration, accountability, and excellence.

• Influence enterprise-wide outcomes through effective partnership with Legal, Audit, Risk, and regulatory stakeholders, delivering credible challenge and driving sound decision-making.

• Identify emerging risks and opportunities, strengthening compliance frameworks, enhancing processes, and helping shape the future of compliance across the organization.

Required Qualifications:

• 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Deep experience in Futures Commission Merchant (FCM) activities, Expert-level knowledge of regulatory regimes including, but not limited to the CFTC, NFA, CME and associated compliance programs.

• Extensive experience designing and executing enterprise compliance programs, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training.

• Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.

• Significant experience operating in a business-facing compliance role, providing advisory support to front office or trading environments

• Proven ability to build, influence, and maintain strong relationships with business stakeholders, including front office leadership

• Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices.

• Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.

• Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results.

• Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork.

• An ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision-making. 

• Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. and non-U.S. regulators.

• Proven experience establishing a large-scale vision, developing the strategy to support the vision, gaining consensus across key functional leadership areas through effective communication and successful delivery against goals and objectives.

• Experience driving and influencing large-scale organizational change.

Job Posting Location:

• 30 Hudson Yards, New York, New York

Job Expectations

• Willingness to work on-site at stated location on the job opening.

• This position currently offers a hybrid work schedule.

• Not Eligible for Visa Sponsorships.

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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:

*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.