WBS Regl Support Specialist 2

Job Description

Provides between 26-75% supervisory review for the store and other support staff in addition to some marketing and service support to Financial Advisors (FAs). At the direction of the Brokerage Admin Manager or Regional Support Center Manager will handle selected supervisory duties requiring a Principal license, including one or more of the following: Principal supervisory review and approval of: correspondence, report review, store inspections, coordinating marketing and seminar approvals, conducting mock audits, targeted follow-ups compliance with Envision, Asset Advisor, product disclosure and other policies. May not perform direct supervisory tasks on behalf of any FAs from whom the position receives comp override. May coordinate workflows and provide direction for junior staff. Utilizes experience as a Reg Client Assoc to anticipate and proactively seek resolutions to client operational/service inquires. Exercises seasoned judgment by handling complex clients and their requests professionally. Duties may include: opening accts and processing paperwork; working with internal departments and/or directly with the clients in resolving issues; providing info regarding procedural, product, or marketing questions; processing the movement of funds and securities; scheduling appointments for new and existing clients; monitoring and tracking referrals and results. Competence in following firm compliance procedures; issuing product marketing info to clients; preparing marketing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. Viewed as an experienced resource and sought by others for guidance. Provides operational training for new hires for support staff and FAs, and assists in their transition into the org. May be back-up in taking/executing investment orders from clients.

Required Qualifications

  • 5+ years of investment support experience
  • Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Insurance licenses for designated insurance lines, considering state law restrictions

Desired Qualifications

  • Experience opening client brokerage accounts and adhering to compliance procedures
  • Registered client associate experience: working with clients and internal departments to solve marketing, product, and service issues
  • Ability to provide operational training for new hires
  • Knowledge and understanding of financial services industry: wealth management, brokerage, or retirement

Job Expectations

  • Registration for FINRA Series 66 (or 63 and 65) must be completed within 90 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.


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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