Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
The Legal Department supports the vision, values & goals of Wells Fargo by providing expert, creative, cost-effective, and timely advice and services to all Wells Fargo businesses and support functions. We operate in accordance with the highest standards of judgment, integrity, and ethical leadership to find creative solutions that best serve our customers, prudently manage risks, and contribute to Wells Fargo's enterprise success.
This position will report to the Managing Counsel selected to lead the legal support for the Wealth and Investment Management (WIM) Center of Excellence for Investments and will primarily support the capital markets and trading functions within the WIM Center of Excellence for Investments for Wells Fargo Advisors, the retail brokerage business in WIM.
The selected individual will be the primary attorney providing legal support to the following functions within Wells Fargo Advisors, the retail brokerage line of business within WIM: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities offerings; (c) commodity futures trading and futures credit risk; (d) listed securities options; (e) market-linked securities and certificates of deposit and (f) securities research.
Major responsibilities include:
Providing legal support to the Wells Fargo Advisors, retail brokerage business in WIM.
Provide substantive and practical legal advice on the application of a variety of laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, also the applicable rules of FINRA and the Volcker Rule as applicable to these businesses and WFA.
Identify and analyze complex legal issues arising out of strategic initiatives as well as develop conclusions and recommend solutions while working directly with business partners.
Foster an environment that ensures strong communication and cooperation across the business, Compliance, Risk and Audit to facilitate transparency, balance and credible challenge.
Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance and/or risk issues across business groups with WIM; and ensure that escalated risk issues receive appropriate senior management attention.
Create a culture of excellence by proactively collaborating with others and challenging the 'status quo'
8+ years of experience as a practicing attorney; or 6+ years of experience as a practicing attorney and 2+ years of legal-related experience in one or a combination of the following areas: risk, compliance, contracts, government, regulatory, financial services, or technology
Active State Bar membership
Ability to analyze legal and regulatory issues in area of practice and provide effective advice to clients on complex legal matters
Extensive experience conducting research and providing counsel and guidance regarding complex legal issues
Strong attention to detail and accuracy skills
Excellent verbal, written, and interpersonal communication skills
Ability to effectively organize and prioritize work while handling multiple matters
Ability to work effectively in a complex environment with a high degree of collaboration
Effective in building partnerships, functioning well with project teams, and working for the success of the team
Other Desired Qualifications
Experience with the following functions within a retail brokerage business: (a) equity, fixed income and spot foreign currency trading; (b) equity and fixed income securities offerings; (c) commodity futures trading and futures credit risk; (d) listed securities options; (e) market-linked securities and certificates of deposit and (f) securities research.
Experience supporting a retail brokerage business including capital markets and trading functions.
Experience providing substantive and practical legal advice on the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, also the applicable rules of FINRA and the Volcker Rule to a retail brokerage business.
NC-Charlotte: 301 S College St - Charlotte, NC MA-Boston: 125 High Street - Boston, MA NY-New York: 150 E 42nd St - New York, NY MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO MN-Minneapolis: 90 S 7th St - Minneapolis, MN
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women. Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through 7,400 locations, more than 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 32 countries and territories to support customers who conduct business in the global economy. With approximately 260,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 29 on Fortune’s 2019 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.
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