Executive Director; Regulatory Books and Records Change Leader
Wells Fargo
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Corporate & Investment Banking (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total relationship with Wells Fargo.
The Chief Operating Office (COO) supports the business by delivering platforms, processes and systems across a wide range of disciplines. This includes LOB business management, business solutions & enablement, client lifecycle management, data management, strategy & transformation, and innovation.
About this role:
Wells Fargo is seeking a Regulatory Books and Records Change Leader in Strategic Execution as part of Corporate & Investment Banking. Learn more about our career areas and lines of business at wellsfargojobs.com.
In this role, you will:
- Act as a Business Execution advisor to leadership to drive performance and initiatives, and develop and implement information delivery or presentations to key stakeholders and senior management
- Lead the strategy and resolution of highly complex and unique challenges related to Business Execution that require solid analytical skills, extensive knowledge of Business Execution, and understanding of business, delivering longer term and large scale solutions
- Provide vision, direction, and expertise to senior leadership for implementing innovative and significant business solutions that are large scale and cross organizational
- Lead team meetings or steering committee to facilitate decision making and support implementation of recommendations and plans
- Strategically engage with all levels of professionals and managers across multiple lines of businesses and serve as an experienced advisor to the leadership
- Provide direction to a cross functional team using business expertise
Required Qualifications:
- 7+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- 7+ years in Records Management or related Control Management function in a financial services firm
- Comprehensive knowledge of regulatory requirements within US for records management (e.g., SEC and CFTC record-keeping requirements)
- Knowledge and understanding of Records Management regulations
- Experience of trade lifecycle across CIB businesses, including, e.g., Equities, Rates, FX, Commodities, Structured Products, and Municipal Securities, Banking. Strong understanding of business processes and records associated.
- Working knowledge of industry-standard records management platforms
- Ability to articulate complex concepts in a clear manner to senior audiences
- Proven change management capabilities
- Strong analytical and organizational skills with high attention to detail and accuracy
- Familiarity in working within regional teams and global governance models
- Excellent partnering and collaboration skills
- Excellent communication and stakeholder management skills
- Financial Services industry experience
- Advanced Microsoft Office skills (Outlook, Word, Excel, PowerPoint)
- FINRA SIE/Series 99 Certification
- Records Management Certification
Job Expectations:
- This role is not eligible for VISA sponsorship
- Ability to travel, as needed
- Willingness to work on-site in accordance with current office requirements
- Ability to work additional hours as needed
- This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
- Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
Posting address:
150 E 42nd St, New York, NY 10017
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.
$167,000.00 - $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:
30 Oct 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.
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