About this role:
Wells Fargo is seeking a Lead Counsel to serve as the primary legal subject matter expert on broker-dealer and investment adviser books & records issues for the Wealth & Investment Management (WIM) section of Wells Fargo. This Lead Counsel will work primarily with SEC rule 17a-3, SEC rule 17a-4, Investment Adviser Act rule 204-2 and various FINRA rules to determine the applicability of these rules to platforms, systems, documents, and other data. This senior-level attorney will work closely with business leaders from WIM, Technology, Compliance and Risk to provide integrated legal advice related to books and records issues and help advise the business on strategies to capture, retain and archive required data elements under the books and records rules.
In this role, you will:

• Become an expert on the federal securities laws and SRO rules related to books and records.
• Help lead complex initiatives with broad impact on the Wealth & Investment Management Division of WIM
• Handle matters that have a significant impact on the Company's operations, strategies, or profitability
• Provide legal advice on matters for management of the Corporation and its subsidiaries
• Serve as a legal advisor to the businesses within Wells Fargo
• Review and analyze complex large scale or long term challenges that require in-depth evaluation of multiple factors including intangibles or unprecedented factors
• Draft complex legal documents, review and negotiate documents prepared by outside counsel
• Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution
• Provide substantive legal advice on matters for more experienced management of the Corporation
• Develop and lead implementation of strategic business initiatives, and lead work team to meet deliverables and drive new initiatives
• Educate, train, and supervise less experienced attorneys within the Legal department
• Collaborate strategically with peers, colleagues and mid-level to more experienced managers to resolve issues and achieve goals
• Lead projects, teams or serve as a peer mentor
• Develop relationships with and provide guidance to more experienced leadership, including executive officers, 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:

• 5 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:

• Experience with Securities Exchange Act Rules 17a-3 and 17a-4.
• Familiarity with FINRA rules and guidance related to books and records.
• Prior experience working in a large broker-dealer or other highly regulated financial institution.

Posting End Date:
22 Feb 2024
*Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: 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.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
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.