About this role:

Wells Fargo is seeking an Assistant General Counsel, Executive Director to join the Wealth and Investment Management Client Relationship Group in the Wealth and Investment Management Division of the Wells Fargo Legal Department. For additional information on this line of business, refer to the external Careers Site at Wellsfargo.com/career.

In this role, you will:

• Serve as a senior legal advisor to management of the Wells Fargo retail brokerage businesses within the Wealth and Investment Management Division (the “RB Business”). The RB Business includes the full-service channel - Wells Fargo Advisors – and the Independent Solutions Channel - Wells Fargo Advisors Financial Network and First Clearing Lead implementation of strategic business initiatives, act as a key participant in large scale planning, and drive new initiatives
• Handle matters that have an impact on operations, strategies, or profitability of the RB Businesses including items related to the Independent Solutions channel business.
• Identify and recommend opportunities for process improvement and risk control development
• Support RB governance activities and participate in RB related cabinets and working groups
• Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution
• Provide substantive legal advice on matters for more experienced management
• Collaborate strategically with peers, colleagues and mid-level to more experienced managers to resolve issues and achieve goals
• Develop relationships with and provide guidance to more experienced leadership on issues that may present legal, regulatory, compliance, or reputational risk to the Company
• Partner with business leaders and management of other corporate departments to develop and implement risk management programs

Required Qualifications, US:

• 7+ 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:

• Retail brokerage legal experience including knowledge of SEC, FINRA and State retail brokerage rules and regulations and/or experience with SEC, FINRA and State Regulators, including representing financial services firms directly before securities regulators and enforcement proceedings or examinations
• Experience representing large, matrixed organizations providing general legal advice and support in connection with risk and regulatory issues
• Excellent written and oral communication and negotiating skills
• Demonstrated ability to adapt quickly to a changing environment while building relationships
• Experience negotiating for positive business outcomes while effectively managing legal risk
• Work under pressure and meet tight deadlines
• Demonstrated understanding of complex business activities and operations
• Ability to create and sustain effective, influential, and trusted relationships with business and staff group leaders

Job Expectations:

• Position will require onsite presence from any of the required locations listed below
• This position is not eligible for Visa sponsorship
• Relocation assistance is not available for this position.

• 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 achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

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.