At Wells Fargo, we want to satisfy our customersâ financial needs and help them succeed financially. Weâre looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youâll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (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, and both individual and institutional retirement.
Responsible for supervision, risk, controls and other oversight tasks for branch(s) within one or more Markets as assigned by the Field Support Control Manager. Escalates required findings and issues as necessary to the Leadership Management Team.Â Works with the Leadership Management Team to ensure that branches within the markets follow compliance and supervisory policies, procedures, and processes. As delegated by the Field Support Control Manager, serves as an escalation point for Home Office support and oversight groups. Works with Centralized Supervision to address and resolve alerts.
Position can be located in the following Markets: Dakota Market; Minneapolis Market; Nebraska MarketRequired Qualifications
- 3+ years of financial services compliance experience
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multi tasking, and prioritizing skills
- Strong verbal, written, and interpersonal communication skills
- Knowledge and understanding of brokerage: systems or applications
- Ability to process complex transactions and perform extensive research to resolve complex customer issues
- Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
- Ability to negotiate and facilitate issue resolution
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
- 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.
- 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 9/10 and 65 or 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at 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.