Executive Director, Head of Supervisory Analysts

Corporate & Investment Bank (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total relationship with Wells Fargo.
Markets provides solutions to clients with the means to manage their exposure through various derivatives, lending and cash products across Structured Products Group, Rates, Equities, Foreign Exchange, Municipal Products Group, Credit Sales & Trading.
About this role:
Wells Fargo is seeking a Head of Supervisory Analysts within the Equity Research department. In this position you will partner with Research Management on a broad array of responsibilities, with a focus on regulatory topics, research policies and procedures, and risk management. Primary responsibilities will include review and approval of equity and economics reports and the management of the supervisory analyst group including maintaining and managing applicable research policies, procedures and controls related to the creation and publication of the Equity Research and Economics content. The Head of SA's will need to build strong relationships with both the Equity Research group and the Content Distribution team, and have a command of all relevant rules and regulations. Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:

• Design and/or optimize research publication controls and procedures around department standards and managing relevant risk.
• Review and approve equity research reports and economic commentary to ensure regulator and departmental standards are met.
• Manage the Supervisory Analyst group.
• Partner with Compliance, Legal and Control Room personnel in relation to real-time product assessment or other regulatory exam or audit matters.
• Oversight of analyst conduct including conflicts of interest, personal trading and electronic communications.
• Support the research-related aspects of the disclosures system.
• Manage all aspects of research adherence to SEC, FINRA, MiFID 2 and other related rules/regulations.

Required Qualifications:

• 7+ years of Securities Research experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• BS/BA or higher
• 10+ years of experience in direct support of sell-side equity research regulatory processes or operational procedures
• Direct experience within equity research management, research product management, research compliance, or other relevant experience
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Strong understanding of the global settlement, FINRA 2241, and other critical regulations
• Advanced skills in Microsoft Office (Word, Excel, Outlook and PowerPoint)
• Strong, clear and concise written and oral communication skills
• Familiarity with financial statement analysis
• Knowledge and understanding of investment tools such as Bloomberg or FactSet application

Job Expectations:

• Up to 20% travel
• 100% Remote work location is available for this position
• Registration for FINRA Series 16 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series 24 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities 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.

Posting Location:

• 150 E. 42nd Street, New York, NY
• 333 Market Street, San Francisco, CA
• 125 High Street, Boston, MA
• 550 S. Tryon Street, Charlotte, NC

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.
$215,000.00 - $355,000.00
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:
8 Jul 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.