Executive Director – Futures Commission Merchant Compliance
About the position
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.
Responsibilities
- 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.
Requirements
- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Nice-to-haves
- 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.
Benefits
- 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
