Head Of Compliance Jobs
Head Of Compliance jobs are open across financial services, healthcare, technology, and insurance, at every level from compliance manager to chief compliance officer, with specializations in regulatory affairs, data privacy, and AML. Find a role that fits from the openings below and apply directly.
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About this role:
Wells Fargo is seeking a Compliance Director to serve as Head of Equities Compliance within Corporate & Investment Banking (CIB) Markets. This senior leadership role will provide second-line compliance oversight across the Equities business and lead the team responsible for compliance coverage of Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.
The role will operate as a trusted advisor to Equities and CIB leadership while maintaining independent challenge and credible oversight. The leader will be accountable for identifying, assessing, escalating, and helping mitigate compliance risks; translating regulatory requirements into practical guidance; overseeing the Equities Compliance coverage model; and representing Compliance in governance, regulatory, and senior management forums.
In this role, you will:
- Lead and develop the Equities Compliance team, establish clear coverage accountabilities, and promote consistent, risk-based execution across the Equities platform.
- Maintain detailed knowledge of Equities products, services, business strategies, control environments, and relevant regulatory obligations.
- Serve as the primary Compliance partner to Equities leadership and a senior subject matter expert on regulatory requirements and internal policies applicable to Equities products, services, clients, and operating activities.
- Provide strategic and day-to-day compliance guidance across Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.
- Provide independent challenge and second-line oversight of business strategies, new products, significant transactions, client and market conduct matters, conflicts of interest, and changes to operating models or controls.
- Oversee the identification, assessment, escalation, and remediation of compliance risks, issues, incidents, control weaknesses, and regulatory concerns affecting the Equities business.
- Assess regulatory developments and enforcement trends, determine potential business and control impacts, and oversee timely implementation of required changes.
- Oversee Equities-related compliance risk assessments, monitoring, surveillance, testing coordination, metrics, management reporting, and issue management activities.
- Partner with Legal, Risk, Business Control, Internal Audit, and other Front Line-aligned Compliance teams to promote coordinated risk management and clear accountability.
- Work closely with Operations Compliance teams for Equities-related items, including customer safekeeping, margining, confirmations, and other relevant requirements.
- Lead Compliance support for regulatory examinations, inquiries, internal reviews, audits, and responses involving the Equities business.
- Prepare and present concise, decision-useful materials for senior management, governance committees, and other oversight forums.
- Escalate material compliance matters promptly and provide clear recommendations regarding risk acceptance, remediation, or business restrictions.
- Attract, retain, coach, and develop a high-performing team with strong technical expertise, sound judgment, and effective stakeholder management capabilities.
- Provide timely escalation and transparent reporting of material compliance risks, issues, and emerging concerns to appropriate governance and senior management forums.
- Oversee completion of compliance risk assessments, monitoring and surveillance activities, metrics, reporting, regulatory change management, and issue remediation for Equities.
- Engage directly with regulators and internal oversight functions, as appropriate, on matters affecting the Equities business.
Required Qualifications:
- 10+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 4+ years of management or leadership experience
Desired Qualifications:
- Extensive compliance, legal, regulatory, or risk experience supporting institutional equities activities through one or more registered broker-dealers.
- Demonstrated knowledge of Cash Equities, Equity Derivatives, Equity Finance, and Prime Brokerage activities, and the regulatory framework applicable to U.S. broker-dealers.
- Experience leading a compliance function or a team responsible for complex, multi-product Markets coverage.
- Experience advising senior business leaders and providing credible challenge on significant regulatory, conduct, operational, and reputational risk matters.
- Experience with SEC, FINRA, and exchange requirements applicable to Equities and related activities.
- Experience leading regulatory examinations, investigations, audits, compliance reviews, risk assessments, monitoring, surveillance, and issue remediation.
- Strong judgment and the ability to analyze complex facts, identify material risks, make timely decisions, and communicate a clear compliance position.
- Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
- Effective executive communicator, both orally and in writing, with the ability to present complex issues clearly and influence timely decision-making.
- Proven ability to cultivate relationships and collaborate across business, Legal, Risk, Operations, Business Control, Internal Audit, and Compliance stakeholders.
- Demonstrated ability to lead through change, set priorities, allocate resources, and develop talent in a fast-paced regulatory environment.
Job Expectations:
- Willingness to work on-site at stated location on the job opening.
- Not Eligible for Visa Sponsorships
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 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.
- Specific compliance policies may apply regarding outside activities and/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
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. $185,000.00 - $300,000.00
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:
21 Nov 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.
c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.
About this role:
Wells Fargo is seeking a Compliance Director to serve as Head of Equities Compliance within Corporate & Investment Banking (CIB) Markets. This senior leadership role will provide second-line compliance oversight across the Equities business and lead the team responsible for compliance coverage of Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.
The role will operate as a trusted advisor to Equities and CIB leadership while maintaining independent challenge and credible oversight. The leader will be accountable for identifying, assessing, escalating, and helping mitigate compliance risks; translating regulatory requirements into practical guidance; overseeing the Equities Compliance coverage model; and representing Compliance in governance, regulatory, and senior management forums.
In this role, you will:
- Lead and develop the Equities Compliance team, establish clear coverage accountabilities, and promote consistent, risk-based execution across the Equities platform.
- Maintain detailed knowledge of Equities products, services, business strategies, control environments, and relevant regulatory obligations.
- Serve as the primary Compliance partner to Equities leadership and a senior subject matter expert on regulatory requirements and internal policies applicable to Equities products, services, clients, and operating activities.
- Provide strategic and day-to-day compliance guidance across Cash Sales & Trading, Equity Derivatives, Equity Finance, and Prime Brokerage activities.
- Provide independent challenge and second-line oversight of business strategies, new products, significant transactions, client and market conduct matters, conflicts of interest, and changes to operating models or controls.
- Oversee the identification, assessment, escalation, and remediation of compliance risks, issues, incidents, control weaknesses, and regulatory concerns affecting the Equities business.
- Assess regulatory developments and enforcement trends, determine potential business and control impacts, and oversee timely implementation of required changes.
- Oversee Equities-related compliance risk assessments, monitoring, surveillance, testing coordination, metrics, management reporting, and issue management activities.
- Partner with Legal, Risk, Business Control, Internal Audit, and other Front Line-aligned Compliance teams to promote coordinated risk management and clear accountability.
- Work closely with Operations Compliance teams for Equities-related items, including customer safekeeping, margining, confirmations, and other relevant requirements.
- Lead Compliance support for regulatory examinations, inquiries, internal reviews, audits, and responses involving the Equities business.
- Prepare and present concise, decision-useful materials for senior management, governance committees, and other oversight forums.
- Escalate material compliance matters promptly and provide clear recommendations regarding risk acceptance, remediation, or business restrictions.
- Attract, retain, coach, and develop a high-performing team with strong technical expertise, sound judgment, and effective stakeholder management capabilities.
- Provide timely escalation and transparent reporting of material compliance risks, issues, and emerging concerns to appropriate governance and senior management forums.
- Oversee completion of compliance risk assessments, monitoring and surveillance activities, metrics, reporting, regulatory change management, and issue remediation for Equities.
- Engage directly with regulators and internal oversight functions, as appropriate, on matters affecting the Equities business.
Required Qualifications:
- 10+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 4+ years of management or leadership experience
Desired Qualifications:
- Extensive compliance, legal, regulatory, or risk experience supporting institutional equities activities through one or more registered broker-dealers.
- Demonstrated knowledge of Cash Equities, Equity Derivatives, Equity Finance, and Prime Brokerage activities, and the regulatory framework applicable to U.S. broker-dealers.
- Experience leading a compliance function or a team responsible for complex, multi-product Markets coverage.
- Experience advising senior business leaders and providing credible challenge on significant regulatory, conduct, operational, and reputational risk matters.
- Experience with SEC, FINRA, and exchange requirements applicable to Equities and related activities.
- Experience leading regulatory examinations, investigations, audits, compliance reviews, risk assessments, monitoring, surveillance, and issue remediation.
- Strong judgment and the ability to analyze complex facts, identify material risks, make timely decisions, and communicate a clear compliance position.
- Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
- Effective executive communicator, both orally and in writing, with the ability to present complex issues clearly and influence timely decision-making.
- Proven ability to cultivate relationships and collaborate across business, Legal, Risk, Operations, Business Control, Internal Audit, and Compliance stakeholders.
- Demonstrated ability to lead through change, set priorities, allocate resources, and develop talent in a fast-paced regulatory environment.
Job Expectations:
- Willingness to work on-site at stated location on the job opening.
- Not Eligible for Visa Sponsorships
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 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.
- Specific compliance policies may apply regarding outside activities and/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
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. $185,000.00 - $300,000.00
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:
21 Nov 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.
c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.
Head Of Compliance Jobs by Experience Level
See All 39 Head Of Compliance Jobs
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Find Head Of Compliance JobsHead Of Compliance Job Market
Who's Hiring
Top Industries Hiring
- Technology & Software
- Banking & Financial Services
- Manufacturing
- Investment & Asset Management
What Employers Look For
The qualifications that appear most often in head of compliance jobs.
- Bachelor's degree in law, business, finance, or a related field with relevant compliance experience
- Deep knowledge of applicable regulatory frameworks such as SEC, FINRA, HIPAA, or GDPR
- Professional certification such as CCEP, CRCM, CAMS, or equivalent compliance credential
- Experience building, managing, or overhauling a compliance program within a regulated industry
- Proven ability to conduct internal investigations and present findings to senior leadership or boards
- Proficiency with compliance management software, case tracking tools, and risk assessment platforms
Tips for Your Head Of Compliance Job Search
Quantify your regulatory impact on your resume
Rather than listing the frameworks you know, show what changed because of your work. Reduced audit findings by a specific percentage, built a compliance program from scratch, or remediated a consent order faster than projected all carry more weight than framework names alone.
Lead with your regulatory domain first
Hiring managers screen head of compliance resumes by industry before reading anything else. Make your primary regulatory area, whether SEC, HIPAA, FINRA, or GDPR, visible in your summary line so it matches the opening before anyone reads deeper into your resume.
Target openings by your license or certification match
CRCM, CCEP, and CAMS certifications are often listed as required, not preferred. Filter your search to roles that match the certifications you actually hold, because applying without them to openings that require them rarely moves forward to a phone screen.
Apply early to roles that fit
Migrate Mate lists head of compliance openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Prepare a case study for your first interview
Almost every head of compliance interview includes a scenario question about a regulatory gap or enforcement action you managed. Have one real example ready that covers how you identified the issue, what you changed, and what the outcome was, without disclosing confidential client details.
Negotiate your reporting structure at the offer stage
Whether you report to the CEO, general counsel, or board audit committee matters for your authority and effectiveness. Ask about the reporting line before signing. A compliance function buried under finance signals a different scope than one with direct board access.
Head Of Compliance Jobs: Frequently Asked Questions
Which companies are hiring the most head of compliances?
The companies hiring the most head of compliances right now include Intuit, Deutsche Bank, and xe, with the largest share of openings in New York, California, and Illinois, based on current listings on Migrate Mate as of November 2026. Financial services, health systems, and technology companies consistently drive the highest volume of head of compliance hiring nationally.
How many head of compliance jobs are remote?
About 68% of head of compliance openings are fully remote or hybrid as of November 2026, making it one of the more flexible senior roles in legal and risk functions. Data privacy, third-party risk, and regulatory reporting sub-areas tend to offer the highest share of remote arrangements, while roles tied to physical operations or on-site audits are more likely to require in-person presence.
How do you become a head of compliance?
Most people reach the head of compliance level by building deep expertise in a specific regulatory domain first, such as financial crimes, healthcare privacy, or securities law, then moving into a compliance manager or director role where they oversee a team and own a program. Earning a relevant certification, developing board-level communication skills, and leading at least one significant remediation or program build all strengthen your candidacy for a head-level appointment.
Can you get hired as a head of compliance without direct compliance leadership experience?
It is possible to move into a head of compliance role from adjacent functions like legal, internal audit, or risk management if your experience maps directly to the compliance gaps the employer is trying to fill. Emphasize any time you owned a regulatory relationship, led an investigation, or designed a policy framework, even if your title was not compliance-specific. Smaller organizations and startups building their first compliance function are more likely to consider candidates making this kind of lateral move.
What does the head of compliance interview process look like?
Most head of compliance hiring processes include an initial recruiter or HR screen, a substantive interview with the general counsel or CFO, a panel interview with business line leaders, and often a final conversation with the CEO or an audit committee member. You should expect at least one scenario or case-study question about how you handled a past enforcement matter or built a compliance framework, and questions about how you balance regulatory obligations with business priorities.
Where can I find and apply to head of compliance jobs?
You can find and apply to head of compliance jobs on Migrate Mate, which lists current openings from employers across the United States. Search the available roles to find positions that match your regulatory background and seniority level, then apply directly to each listing that fits.
See All 39 Head Of Compliance Jobs
Find roles that match your experience and apply in just a few clicks.
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