Wells Fargo

Job Category:

Risk/Compliance

Location:

Saint Louis, Missouri

Country:

United States

Postal Code:

63101

Approximate Salary:

Not Specified

Position Type:

Full Time

Phone:

415) 820-7800

Regional Supervisor 3 - Wells Fargo Advisors Financial Network

Wells Fargo - Saint Louis, Missouri

Posted: 10/11/2018

Job Description

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.

Wells Fargo Advisors Financial Network provides a broad and comprehensive range of products and services to nearly 1,300 Financial Advisors with assets over $95 Billion. Our ability to simplify independence for successful advisors through partnerships to create and extraordinary business, life, and legacy, coupled with the enterprise support of Wells Fargo, make us one of the most desirable independent broker dealers in the financial services industry.

As the Regional Supervisor, you will have the primary responsibility for providing remote sales supervision and support within assigned branches and/or regions for the Financial Network and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations. This work requires working closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues.

More specifically, the Regional Supervisor will be active in:

  • Supervising specific sales activities on behalf of retail branch managers such as Annuities, Insurance, Trade Blotter, Trade Alerts, Envision Plans and email
  • Monitoring sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
  • Assist branch offices in resolution of sales activity issues where appropriate
  • Work with FiNet and practice management to resolve issues
  • Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate
  • Other duties as assigned
Required Qualifications

  • 4+ years of financial services industry experience
  • 2+ years of experience in branch office compliance, sales supervision, or a combination of both
  • Successfully completed FINRA Series 7 and 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Successfully completed FINRA Series 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications

  • Conflict management and decision making skills
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Strong negotiation skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of branch associates and business units
  • Strong attention to detail and accuracy skills
  • A BS/BA degree or higher
  • Life & Health Insurance licenses
  • Ability to follow policies, procedures, and regulations
  • Strong organizational, multi-tasking, and prioritizing skills
Job Expectations

  • 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.
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
  • Ability to travel up to 30% of the time
  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.
Disclaimer

  • 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.

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