top of page
check mark_black.PNG

Multiple Locations

Wells Fargo

Lead Counsel - Wealth and Investment Management Books and Records (Job ID: R-339524)

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.

bottom of page