David M. Williams
David Williams is the Chief Compliance Officer for Wells Fargo Advisors based in St. Louis, Missouri. In this role, David leads the compliance function for Wells Fargo’s retail brokerage businesses, including responsibility for surveillance and oversight, branch exams, product compliance, retail advice, communications compliance, regulatory change management, policies, training and employee activity compliance. Additionally, David is responsible for key aspects of the enterprise compliance program, including compliance issue management, risk assessments, initiative management and third party compliance risk.
David serves on the WFA Operating Committee and has over 25 years of compliance experience in the financial services industry. He joined Wells Fargo Advisors Compliance in 2013 and served as Retail Director of Advice and Services and head of Retail Compliance.