Assistant General Counsel - VP, Senior WIM Operations Counsel

About this role:
Wells Fargo is seeking a senior attorney to support its Wealth and Investment Management (WIM) business. The successful candidate will work closely with director-level executives from the WIM Operations and Finance teams on topics including: broker-dealer net capital (SEC rule 15c3-1), segregation and safekeeping (SEC Rule 15c3-3), clearance and settlement issues, mutual fund operations, alternative investment operations and investment advisory operations.
In this role, you will:

• Be the go-to legal expert for clearance, custody and settlement issues for a large, retail-focused, dully registered broker-dealer/investment adviser.
• Provide legal advice on a variety of matters related mutual fund operations, hedge-fund and private equity fund transaction processing as well as investment advisory related issues.
• Lead complex initiatives with broad impact and act as a key participant in large scale planning
• Handle matters that have a significant impact on the Company's operations, strategies, or profitability
• 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
• Manage highly complex claims and litigation
• 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:

• 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 as a practicing attorney supporting brokerage operations
• Expert knowledge of SEC Rules 15c-1 and 15c3-3
• Deep understanding of the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940
• Experience in working with SEC, FINRA and MSRB rules.
• Working knowledge of DTC and NSCC processes
• Experience with digital or crypto related assets would be a plus

Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$159,000.00 - $279,000.00
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:
28 Oct 2025
* 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.