At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
Responsible for the compliance and supervisory oversight of the registered associates within one branch office or small market. Supports the Market Manager providing compliance oversight and ensuring regulatory requirements are met. Responsible for the day to day administrative functioning of the branch office(s) within the market (e.g., invoices, budgets, Profit & Loss statements. May have responsibility for the recruiting, training and supervision of Compliance Specialist, Client Associates and/or other administrative support associates. Liaison contact for Administration Support Departments (e.g. Human Resources, Finance, etc.) and for Home Office initiated projects. Often serves as a liaison for other support areas. Explains all policies and procedures to branch employees and ensures adherence to the policies and procedures.Required Qualifications
- 3+ years of financial services experience
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Client service focus with the ability to actively listen, elicit information, comprehend customer issues/needs, and recommend solutions
- Leadership skills
- Attention to detail and accuracy skills
- Effective organizational, multi tasking, and prioritizing skills
- Good verbal, written, and interpersonal communication skills
- Knowledge and understanding of financial services industry: compliance, risk management, or audit operations
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Ability to provide leadership by coaching, training, and mentoring
- Ability to interact with a diverse team
- Registration for FINRA Series 9/10 and 65 or 66 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
- Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
- All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.