Regional Supervisor 1 - Wells Fargo Advisors

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.
Responsible for direct support of branches and their responsibilities for remote compliance supervision of Financial Advisors in the on-going monitoring of branch office conformity with internal policies, applicable laws and registrations. Will provide support to the Wells Fargo Advisor Regional Supervisor 2 and/or 3, conduct certain client account approvals, assist with oversight of branch risk management and take on special projects as assigned by the Manager. Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities. If required, the FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.
#indeed

Required Qualifications

  • Successfully completed FINRA Series 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)
  • 1+ year of financial services industry experience
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
  • 6+ months of experience in branch office compliance, sales supervision, or a combination of both


Desired Qualifications
  • Solid conflict management and decision making skills
  • Strong attention to detail and accuracy skills
  • Sales supervision 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
  • Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Excellent verbal, written, and interpersonal communication skills


Job Expectations
  • 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.
  • 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


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.

WEALTH INV MGMT/WIM PSI
0049700 WEALTH INV MGMT/WIM PSI


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