Wells Fargo Advisors Regional Supervisor 2 - WellsTrade/Wells Fargo Advisors Solutions Control

Job Description

You have a proven track record of success but you're looking for more. More responsibility. More challenges. At Wells Fargo you'll find that opportunity. You'll join a team of people who are smart and share your values. You can enjoy a diverse career as you learn and grow your capabilities across our multiple lines of business. Our supportive environment can help you make a difference within the company and the communities we serve.

Wells Fargo & Company (NYSE: WFC) is a nationwide, diversified financial services company with $1.7 trillion in assets. Founded in 1852, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 9,000 locations, more than 12,500 ATMs, online (wellsfargo.com), and mobile devices. Wells Fargo has more than 265,000 team members in 36 countries across our approximately 90 businesses. Wells Fargo & Company was ranked No. 30 on Fortune's 2015 rankings of America's largest corporations. Wells Fargo's vision is to satisfy our customers' financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

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.

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.

About WFA's WellsTrade/Wells Fargo Advisors Solutions Control Group

The WellsTrade/Wells Fargo Advisors Solutions Control Group is responsible for supporting WellsTrade (WT) and Wells Fargo Advisors Solutions (WFAS); the WFA Regional Supervisor 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 placing some outbound calls to clients to confirm transactions.

The WFA Regional Supervisor 2 within WT/WFAS Control provides support to management, performs quality control reviews, and takes on special projects as assigned by the manager. The role will work closely with other teams within Wells Fargo to resolve complex issues and help find and develop efficiencies within WellsTrade procedures. When necessary, the role will provide training to newly hired WFA Regional Supervisors and provide ongoing training when policies and procedures are updated or changed. The 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. The role will be responsible for reviewing and analyzing various performance reports to identify inefficiencies and areas for improvement.

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
  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • Ability to identify risk factors and ensure enactment of appropriate controls
  • Ability to manage small projects
  • Ability to perform quality assurance audits
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience resolving and working through escalated and complex issues
  • Process efficiency experience, including process assessment and recommendations for improvement

Other Desired Qualifications

  • 2 years brokerage experience related to front office or back office operations
  • 2 year experience reviewing New Account Applications and client documentation
  • 2 year experience reviewing, processing or approving asset movement requests such as checks, journals, ACHs, DTCs, IRA contributions/distributions 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
  • WellsTrade/WFAS Brokerage Operations knowledge: BETA, Wisdom, CHAMP, Hogan/SVP, RightFax and SharePoint

Job Expectations

  • Ability to travel 25% of the time
  • 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 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.


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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