Associate Regional Brokerage Manager (WBS)

Job Description

It starts with you. Our goal is to attract, develop, retain and motivate the most talented people – those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.

Wells Fargo Advisors (WFA): Wells Fargo Advisors operates the nation’s third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. Wells Fargo Advisors administer $1.4 trillion in client assets. Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology.

The Associate RBM will be responsible for working with the Regional Brokerage Manager in the management of a WBS market and will work with the RBM to learn all aspects of brokerage management in Wealth. The program is led and administered through Wealth Brokerage Services. This program may last up to 3 years and is designed to prepare the Associate RBM for a nonproducing RBM role. Once participants successfully graduate from the ARBM Program, they will be able to apply for any open Regional Brokerage Manager position through a competitive selection process.

Responsibilities include working with the RBM in recruiting, partnering with the Regional Bank, partnering with The Private Bank, local marketing, market planning, team development, administration, compliance, and operations functions within the market. May directly manage an office within the market for periods of time to enhance his/her development. Will work with the RBM to build relationship with the Regional Bank and The Private Bank, develop region brokerage business plan, look for opportunities to grow the market share and manage the offices controllable expenses. Will also work with the RBM in developing the management team, as well as driving various productivity, expense and other initiatives. Work with the RBM in all compliance, regulatory, and administrative issues relating to the market and gain a comprehensive understanding of firm policies and procedures, brokerage operations principles and governing bodies regulatory roles and regulations. Develops relationships with key FA s and works to minimize FA attrition.

Selected candidates must be willing to relocate with assistance and should expect a minimum of one relocation while in the program.

Financial Advisors will be required to transition their book of business within a 3 month period of starting the program.

There are multiple openings for this role. The location for each opening is TBD.

Required Qualifications

  • Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
  • 2+ years of leadership experience

Desired Qualifications

  • Knowledge and understanding of the brokerage industry
  • Leadership, coaching, and training skills
  • Good verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of an organization
  • Achievement focus with the ability to foster a team environment
  • Ability to build partnerships across the organization creating an inclusive environment where teamwork and innovation support business success
  • 4+ years of financial services experience
  • Sales or sales support experience
  • Ability to take on a high level of responsibility, initiative, and accountability

Other Desired Qualifications

  • Demonstrated knowledge of investment products and planning experience
  • Previous functional experience in any of the following financial services roles: financial advisor, wholesaler, investment banking, sales manager, product manager

Job Expectations

  • Registration for FINRA Series 9/10 and 65 or 66 must be completed within 180 days of hire date. FINRA recognized equivalents will be accepted.
  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.
  • 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.


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