Senior Counsel – Mutual & Private Fund Distribution, Wealth & Investment Management

Wells Fargo

Senior Counsel supporting legal and regulatory aspects of investment companies and private funds within WIM division at Wells Fargo. Collaborating with compliance, operations, product, and sales teams for compliant launches and initiatives.

Posted 4/15/2026full-timeCharlotte • Massachusetts, Minnesota, North Carolina, Texas • 🇺🇸 United StatesSenior💰 $139,000 - $260,000 per yearWebsite

About the role

Key responsibilities & impact

Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation Best Interest).
Provide legal support for the distribution of private funds, including private placements under Regulation D, Regulation S, and related state blue sky requirements.
Draft, review, and negotiate distribution‑related agreements, including selling agreements, dealer agreements, sub‑advisory arrangements, placement agent agreements, and intermediary contracts.
Advise on marketing and advertising materials for registered and private funds, including compliance with SEC advertising and marketing rules.
Counsel business partners on broker‑dealer, investment adviser, and intermediary regulatory issues.
Monitor regulatory developments impacting fund distribution and provide proactive guidance to business and compliance teams.
Collaborate closely with compliance, operations, product, and sales teams to facilitate compliant product launches and initiatives.

Requirements

What you’ll need

4+ 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
Deep understanding Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules
Prior in‑house experience at an asset manager, fund sponsor, or financial services firm.
Experience with ETFs, interval funds, or alternative investment products.
Experience supporting both broker-dealer and bank distribution channels.
Demonstrated flexibility to adapt to dynamic scope of role to support changing business and Legal department priorities.

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

legal supportdrafting agreementsnegotiating agreementscompliancefund distributionprivate placementsregulatory guidancemarketing compliancebroker-dealer issuesinvestment adviser issues

Soft Skills

collaborationadvisory skillsflexibilitycommunicationproblem-solving

Certifications

Active State Bar membership