WFA Regional Supervisor 3 - Centralized Supervision Unit - St. Louis, MO
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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 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 WFA Regional Supervisor 3 is responsible for remote compliance supervision of PCG and WBS producing managers; direct supervision of certain PCG Profit Formula standalone offices; and supports the PCG regions in the on-going monitoring of branch office conformity with internal policies, applicable laws and regulations. Works closely with the regional and branch/RBO staff on compliance policies, practices and resolution of issues. Supervises production of Branch Managers in assigned region(s) and channels on behalf of the Regional Presidents. Supervises all producing Financial Advisors for selected standalone Profit Formula practice(s). Conducts follow-up reviews with branch offices after the issuance of either an internal audit or compliance examination report to evaluate and/or assist in the resolutions of findings. Prepares a summary report indicating the status of any findings and plans for corrective actions. Assist branch offices in resolution of open audit issues where appropriate. Conducts on-site orientation program for new Branch Managers and Operation Managers if requested. Conducts annual risk orientation and pre-audit branch reviews. Completes 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.
- 4+ years of financial services industry experience
- 2+ years of experience in branch office compliance, sales supervision, or a combination of both
- Successfully completed FINRA Series 7 and 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Conflict management and decision making skills
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) 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
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- Bilingual speaking proficiency in Spanish/English
- Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.
- Ability to travel 50% 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 180 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.
0051801 WEALTH INV MGMT/WIM PSI
Meet Some of Wells Fargo's Employees
Lauren audits Wells Fargo’s financial reports to assess accuracy and risk. She reviews processes in place, analyzes management controls, and communicates calculations and findings with business partners.
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