Regional Supervisor 2 - Wealth Brokerage Services

Job Description

Let's talk about building a rewarding career

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.

Wealth and Investment Management (WIM) is one of the company's four main divisions. 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.

Wealth Management (WM): Wealth Management business is a leading provider of financial services to high-net worth clients through Wells Fargo Private Bank, and to the affluent segment through partnerships between Wealth Brokerage Services and the Community Bank. In Wealth Management, clients are provided with a complete range of solutions to help them manage, preserve and transfer their wealth.

The WFA Regional Supervisor 2 – Wealth Brokerage Services will be responsible for providing remote sales supervision and support within assigned branches and/or regions for the WBS channel 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 RBS 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; Escalate issues to the appropriate management level for resolution; Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate; Complete other duties as assigned by the Supervision 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.

This position will support Tampa, Naples and the surrounding areas

Required Qualifications

  • 2+ years of financial services industry experience
  • 1+ year 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)
  • Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

  • Conflict management and decision making skills
  • Intermediate Microsoft Office 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
  • Brokerage operations or compliance experience
  • Supervisory experience

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.
  • 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.
  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.
  • Ability to travel up to 25% 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.

0108076 WEALTH INV MGMT/WIM PSI


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