Wells Fargo

Job Category:

Risk/Compliance

Location:

Saint Louis, Missouri

Country:

US

Approximate Salary:

Not Specified

Position Type:

Full Time

Phone:

415) 820-7800

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Wells Trade/Wells Fargo Advisors Solutions Control Group - Regional Supervisor 1 - Wells Fargo Advisors

Wells Fargo - Saint Louis, Missouri

Posted: 11/2/2018

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.

The WellsTrade/Wells Fargo Advisors Solutions Control Group is responsible for supporting WellsTrade (WT) and Wells Fargo Advisors Solutions (WFAS); the WFA Regional Supervisor 1 supports the channels with ongoing monitoring of conformity with internal policies, applicable laws and regulations. Provide support to management, conduct certain client account approvals, assist with oversight of risk/fraud management and take on special projects as assigned by manager.

Client account approvals include New Account review and approval; option account approval; margin agreement approval; various asset movement approvals; security removal approvals; account update approvals; Letter of Authorizations approvals; ACH/Banklink approvals; various account documents; client correspondence review and approval in addition to receiving inbound calls related to recent address change notifications and placing some outbound calls to clients to confirm transactions. Role will assist and support Anti-Money Laundering, Compliance, Central Operations and WellsTrade Risk/WFAS team by reviewing escalated account transactions and working with these teams to resolve issues and close down accounts if applicable.

Required Qualifications

  • 1+ year of financial services industry experience
  • 6+ months of experience in branch office compliance, sales supervision, or a combination of both
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills
  • Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Ability to identify and assess issues then make sound decisions
  • Knowledge and understanding of risk management
  • Strong attention to detail and accuracy skills
Other Desired Qualifications
  • 1 year brokerage experience related to front office or back office operations
  • 1 year experience reviewing New Account Applications and client documentation
  • 1 year experience reviewing, processing or approving asset movement requests such as journals, ACHs, DTCs, Partial ACATS, and wires
  • Understanding of WellsTrade and Wells Fargo Advisors Solutions business channels
  • Knowledge of Service Request workflow and/or completing tasks from a queue
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.
  • Registration for FINRA Series 9/10 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • 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.
  • Ability to travel up to 10% of the time
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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