Wells Fargo


Charlotte, North Carolina


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Capital Markets Counsel 3 - Fixed Income Sales and Trading

Wells Fargo - Charlotte, North Carolina

Posted: 08/9/2018

Job Description

At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

The Law Department supports the vision and values of Wells Fargo by providing expert, creative, cost-effective, and timely advice and services to all Wells Fargo businesses and support functions. We operate in accordance with the highest standards of judgment, integrity, and ethical leadership to find creative solutions that best serve our customers, prudently manage risks, and contribute to Wells Fargo’s enterprise success.

The successful candidate’s principal responsibility will be to provide legal support to the Wells Fargo Securities (WFS) Fixed Income Sales and Trading line of business. The attorney filling this position will be part of the Global Capital Markets Section within the Global Commercial and Securities Division of the Legal Department of Wells Fargo. Specific responsibilities for this position include: (i) advise WFS Compliance and business line partners on the interpretation and application of a broad range of SEC, FINRA and MSRB rules and regulations; (ii) participate in WFS projects or initiatives to develop compliance and supervisory policies, procedures and practices to ensure regulatory compliance with significant new securities industry rules and regulations; (iii) support WFS Compliance personnel in responding to SEC and FINRA regulatory examinations and inquiries; (iv) participate in new product and service initiatives to ensure compliance with rules and regulations applicable to those proposed activities; (v) review and advise business managers regarding customer proposed revisions to standard WFS account related agreements (e.g. WFS Client Agreement, WFBNA Safekeeping Agency Agreement, SIFMA Form 151, etc.) or the acceptance of customer prepared documentation; (vi) provide documentation related support and advice to the WFS pledge desk with respect to security account control and depository pledging arrangements; and (vii) assist in the review of competitive bidding requests and the preparation of WFS bid responses.

Required Qualifications

  • 5+ years of legal experience with a major law firm, securities regulatory agency or in-house law department; including 3+ years of representing firms in capital markets and investment banking activities
  • Active State Bar membership
Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills
  • Strong organizational, multi-tasking, and prioritizing skills
  • Strong analytical skills with high attention to detail and accuracy
  • Experience building partnerships and consulting effectively with leadership
  • Outstanding problem solving and decision making skills
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
Other Desired Qualifications

• Extensive knowledge and understanding of SEC and FINRA rules and regulations relating to securities sales and trading and the related regulatory environment
• Understanding of rules governing the cross-border sale of US securities
• Understanding of banking laws and regulations
• Experience supporting middle markets fixed income sales activities and familiarity with issues arising from those activities
• Familiarity with fixed income electronic trading platforms and related regulatory considerations


  • 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.

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