Job Description 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.
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.
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.
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.
Accepts sales supervision activities that are formally delegated by a Branch Office Manager or supervising regulatory principal. Reviews Daily trade activity reports. Reviews and approves trade adjustments, option accounts, wire transfers, seminars related to the brokerage business and incoming and outgoing correspondence. Analyzes daily management reports, brokerage transactions, option accounts and many other issues related to brokerage supervision. May be responsible for directing the work of others. Note: Series 7, 66, 24, 4, 53 or equivalent NASD registrations are required. Must have demonstrated the experience to accept permanent delegation of these brokerage principal activities and be approved to receive delegation of these responsibilities by the Branch Office Manager or supervising regulatory principal. 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. Required Qualifications
5+ years of experience in one or a combination of the following: brokerage operations, compliance, or brokerage supervision
Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)
Good verbal, written, and interpersonal communication skills
Knowledge and understanding of brokerage functions support
Knowledge and understanding of financial services industry: wealth management, brokerage, or retirement
Strong analytical skills with high attention to detail and accuracy
Strong organizational, multi-tasking, and prioritizing skills
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.