Executive Director, Prime Brokerage & Equities Compliance Greater New York City, NY Area

The Company is seeking an Executive Director, Prime Brokerage & Equities Compliance, to advise senior leaders and support the strategic growth of its prime brokerage business. The role provides practical, risk-based compliance guidance across prime brokerage, cash equities, and broker-dealer activities, and offers credible challenge on new initiatives, products, and emerging risks. Responsibilities include leading regulatory examinations, audits, governance improvements, and issue remediation. The Executive Director will strengthen controls and compliance frameworks while collaborating with business, risk, legal, operations, and audit teams. Candidates must have at least seven years of compliance experience or equivalent qualifications. Desired experience includes supporting a full-service prime brokerage platform and deep knowledge of broker-dealer rules, particularly those governing equities finance, short sales, securities lending, margin, options, and related reporting. Familiarity with risk and control self-assessments, swap dealer requirements, banking regulations, cash equities, and trading activities is valuable. Applicants should also bring experience with regulatory exams and remediation, strong risk and governance expertise, and the ability to support business growth while maintaining a robust compliance environment.

Hiring Company

Wells Fargo