Kelly Zigaitis

Head of Oversight and Controls, Compliance Wells Fargo Advisors

Kelly Zigaitis serves as the Head of Oversight and Controls for Wells Fargo Advisors compliance department.  Her teams develop and administer the compliance oversight program for retail brokerage activities across all affiliated lines of business. The department is responsible for conducting examinations of Office of Supervisory Jurisdiction (OSJ) branch offices and certain office locations to assess compliance with Firm policies and procedures and regulatory requirements; conducting retail branch surveillance and transaction oversight; providing advice and support to branch and Home Office associates; providing training regarding industry rules and regulations; conducting reviews and investigations which may culminate in disciplinary actions; conducting pre-hire reviews; reviewing team members’ outside activities and investments; and collecting annual employee attestations. Additionally, in support of WFCS securities execution and clearing services, the Department is responsible for providing transaction oversight system support.  Kelly previously served as the Chief Compliance Office of Scottrade, Inc. and the Managing Director, Retail Supervision and Controls at TD Ameritrade.