Wells Fargo

Job Category:

Risk/Compliance

Location:

Charlotte, North Carolina

Country:

US

Approximate Salary:

Not Specified

Position Type:

Full Time

Phone:

415) 820-7800

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Regional Supervisor 3 - Wells Fargo Advisors Financial Network

Wells Fargo - Charlotte, North Carolina

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 (FiNet) 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 a Regional Supervisor 3 you will be responsible for supervision, monitoring, and research analysis within FINET Supervision and providing proactive solutions. The Regional Supervisor may review controls to manage risk and evaluate resources in place to monitor risk as well as consult with business units that provide service, products, or support to FINET. As the Regional Supervisor, you will have the secondary 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, and Account Reviews.
  • 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

This position is located at Wells Fargo Advisors headquarters in St. Louis, MO. Remote work locations or relocation assistance is not available.

IMPORTANT INFORMATION:

  • After submitting your application, please monitor your e-mail for future communications
  • Once your application is received, Wells Fargo will make initial contact with you via e-mail
  • Please ensure your contact information (e-mail address and phone number) is current in your Wells Fargo Jobs Profile
  • If your contact information has changed, please update prior to applying to this position
  • Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo
  • Due to a high volume of inquiries, please do not contact the hiring manager listed. Any inquiries sent to the hiring manager listed may not receive a response
  • Wells Fargo will not sponsor visas for these positions and will not hire individuals whose work eligibility is based on their F-1 or other student visa status such as Optional Practical Training (OPT). Candidates must be authorized to work in the United States on a permanent basis.
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)
  • Life & Health Insurance licenses
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
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • 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
  • Registration for FINRA Series 66 (or 63 and 65) must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
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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