Equities Trading Regulatory and Compliance Business Analyst

Job Description

Responsible for providing business analysis expertise for technology initiatives in support Equity trading compliance and/or systems application(s) within the Securities businesses. Act as a liaison between the business, compliance and technology teams to interpret and develop requirements for Equity compliance/Equity business requirements and recommend applications development / enhancement solutions. Use capital markets compliance and technology application(s) knowledge to conduct detailed analysis in response to business, compliance & technology requests to develop efficient and accurate functional requirements. Coordinate communication and information flow between business, compliance and technology teams. Create and maintain project / systems documentation and proactively monitor & manage project schedules and deliverables. Work with business and compliance users to develop and provide training, resolve questions, assess user needs and recommend changes. Participate in system testing and project development lifecycle management.

Required Qualifications

  • 5+ years of business systems analysis or design experience
  • 3+ years of experience in the capital markets and investment banking industry
  • 3+ years of compliance and regulatory systems experience
  • 3+ years of equity markets experience
  • 3+ years of compliance and controls testing experience
  • A BS/BA degree or higher

Desired Qualifications

  • Knowledge and understanding of technology business systems analysis or design in capital markets and investment banking
  • Knowledge and understanding of operational work flows/processes for capital markets and investment banking, including industry participants
  • Knowledge and understanding of industry regulations for developing technological solutions
  • Knowledge and understanding of capital markets: regulatory environment
  • Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules
  • Knowledge and understanding of regulatory compliance requirements surrounding SEC, FINRA, and international regulations for building technological solutions

Job Expectations

  • Ability to work additional hours as needed


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.


Meet Some of Wells Fargo's Employees

Lauren S.

Audit Manager

Lauren audits Wells Fargo’s financial reports to assess accuracy and risk. She reviews processes in place, analyzes management controls, and communicates calculations and findings with business partners.

Andrew M.

Innovation Consultant

Andrew incorporates his risk management and creative skills to strategize new and insightful ways to engage customers who interact with Wells Fargo’s various financial products and services.

Back to top