Charlie Nichols
Vice President, Assistant General Counsel @ Wells Fargo | Wealth and Investment Management
- Role
- Vice President, Assistant General Counsel - Wealth & Investment Management at Wells Fargo
- Location
- Des Moines, IA, US
- LinkedIn followers
- 500 followers
About Charlie Nichols
A seasoned investment management attorney with over 10 years of experience advising on…
Experience
Vice President, Assistant General Counsel - Wealth & Investment Management
Jun 2023 — Present
Provide legal support for the design, enhancement, and governance of advisory programs, including Client and FA Directed, Research Directed, and Independent channels. Collaborate on legal analysis and documentation strategy for Form ADV updates, Reg BI compliance, and client disclosure frameworks. Advise on regulatory risk and control considerations related to product innovation. Partner with business stakeholders to assess legal implications of pricing structures, service model differentiation, and client segmentation strategies. Represent Legal on cross-functional working groups and deal teams.Draft and review legal memoranda, disclosures, and internal guidance documents to ensure compliance with SEC regulations and internal policies. Escalate and manage legal concerns and provide strategic recommendations to senior leadership, including the General Counsel and business executives.
Education
Morehouse College
Bachelor of Arts - BA
University of Iowa College of Law
Doctor of Law - JD
The University of Iowa Tippie College of Business
Master of Business Administration - MBA
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.