Lead Compliance Officer - Digital Assets and Cryptocurrency Compliance

Job Description

• Lead compliance oversight and risk management for Wells Fargo’s Broker Dealer Operations across Wealth & Investment Management and Corporate & Investment Banking in Charlotte, NC.
• Advise on digital assets, cryptocurrencies, stablecoins, tokenized securities, blockchain, distributed ledger technologies, and emerging financial products.
• Establish compliance programs and controls; conduct risk assessments, surveillance, testing, investigations, reviews, and root cause analyses.
• Interpret and monitor SEC, FINRA, CFTC, NFA, OCC, Federal Reserve, MSRB, and related regulatory requirements, including regulatory change and remediation activities.
• Requires 5+ years of compliance experience; hybrid work, FINRA background screening, ongoing regulatory screening, no visa sponsorship, and no degree requirement stated.