Compliance Director - Corporate & Investment Banking

About this role: Wells Fargo is seeking a Senior Counsel to join the legal team supporting its Wealth and Investment Management (WIM) division. This Senior Counsel will support the legal and regulatory aspects of distributing registered investment companies and private investment funds. This role will work closely with business, compliance, and product teams to provide practical, business-oriented legal advice on U.S. distribution channels and regulatory requirements.
The ideal candidate will have deep familiarity with the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules governing distribution activities across retail, institutional, and intermediary platforms.
In this role, you will:

• Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b-1, Rule 22c-1, Regulation Best Interest).
• Provide legal support for the distribution of private funds, including private placements under Regulation D, Regulation S, and related state blue sky requirements.
• Draft, review, and negotiate distribution-related agreements, including selling agreements, dealer agreements, sub-advisory arrangements, placement agent agreements, and intermediary contracts.
• Advise on marketing and advertising materials for registered and private funds, including compliance with SEC advertising and marketing rules.
• Counsel business partners on broker-dealer, investment adviser, and intermediary regulatory issues.
• Monitor regulatory developments impacting fund distribution and provide proactive guidance to business and compliance teams.
• Collaborate closely with compliance, operations, product, and sales teams to facilitate compliant product launches and initiatives.

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:

• Deep understanding Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules
• Prior in-house experience at an asset manager, fund sponsor, or financial services firm.
• Experience with ETFs, interval funds, or alternative investment products.
• Experience supporting both broker-dealer and bank distribution channels.
• Demonstrated flexibility to adapt to dynamic scope of role to support changing business and Legal department priorities.

Job Expectations:

• This position is not eligible for Visa sponsorship
• Relocation assistance is not available for this position.
• Ability to work at the job posting location
• Ability to work a hybrid schedule, in office at least 3 days a week
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.

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.
$139,000.00 - $260,000.00
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:
26 Apr 2026
* 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.