David Williams

David Williams is the compliance senior director for Wells Fargo Wealth & Investment Management, which includes Wells Fargo Advisors and The Private Bank businesses. In this role, he leads compliance functions for the retail brokerage businesses, including surveillance and oversight, branch exams, product compliance, retail advice, regulatory change management, policies, training, and employee activity compliance. Additionally, he is responsible for compliance issue management, risk assessments, initiative management, and third-party compliance risk – all key aspects of Wells Fargo & Company's compliance program. He sits on the Wells Fargo Advisors Operating Committee.

David has over 25 years of experience in the financial services industry. He joined Wells Fargo Advisors in 2013 and served as retail director of Advice and Services, and head of Retail Compliance. Prior to that, he worked at Credit Suisse’s U.S. Private Bank for three years, where he was head of Branch Supervision and Business Support Management. He also spent 15 years at UBS Financial Services, where he held various senior positions, including head of Compliance for the company’s Wealth Management Advisor Group, and led its Surveillance, Branch Exam and Policy Units. Earlier in his career, David was a securities examiner at First Investors Corporation.

David earned his bachelor’s in business psychology from Miami University in Ohio. He is also on the executive committee of the SIFMA Compliance and Legal Society.

He and his wife, Lara, live in St. Louis with their three boys. He is active in the St. Louis youth sports community, where he coaches several basketball, baseball, and soccer teams.