CIB Global Securities Regulatory Counsel / Senior AVP 2 Locations

About this role:

Wells Fargo is seeking a Senior Counsel in the CIB Regulatory Legal and Governance Section of the Legal Department to support CIB businesses and support teams on securities regulatory issues, broker-dealer matters and assessing the impact of regulatory changes to the business. The day-to-day role will focus on US matters and will form part of an integrated CIB global legal advisory team

For additional information on this line of business, refer to the external Careers Site at Wellsfargo.com/career.

In this role, you will:

• Advise on broker-dealer regulatory matters, including FINRA and SEC related requirements
• Regulatory advice relating to securities related products, including fixed income and other asset classes
• Provision regulatory advice on FINRA/SEC requirements to cover associated conduct of business requirements including reporting, disclosure, documentation and related obligations
• Advising on licensing, permissibility and regulatory legislation impacting CIB.
• Implement and interpret legislative and regulatory changes impacting the CIB business.
• Identify and advise on legal regulatory risks across CIB cross-border transactions.
• Advise on structuring cross-border products or services to comply with local legislation.
• Work directly with the business, LOB Legal and other functions, including compliance and controls
• Provide regulatory advice on business and product development into new jurisdictions
• Participate in initiatives and identify opportunity for process improvement
• Advise on the impact of policy, legal, and regulatory change
• Collaborate with functional colleagues, internal partners, and stakeholders
• Partner with business leaders and management of other corporate departments to develop and implement risk management program.

Required Qualifications:

• 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Active State Bar membership or the equivalent in a country outside the United States

Desired Qualifications:

• Experience as a practicing attorney in private practice, financial services in-house legal department and/or regulatory agency providing legal advice on legal, regulatory, and compliance issues for a financial services firm on securities issues and broker-dealer matters.
• Ability to analyze legal and regulatory issues in area of practice and provide effective advice to clients on complex legal matters.
• Ability to evaluate impacts based on changes in laws or regulations.
• Experience conducting research and providing counsel and guidance regarding complex legal issues.

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.

$120,400.00 - $287,600.00

Posting End Date:

6 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.