Regional Supervisor 1 - Wells Fargo Advisors

Location
Charlotte, North Carolina
Posted
October 30 2020
Ref
5554058-3
Industry
Banking
Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll 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) is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth.

The WFA Regional Supervisor 1 is responsible for direct support of branches and their responsibilities for remote compliance supervision of PCG and WBS producing Branch 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. Will provide support to the WFA Regional Supervisor 3, conduct certain client account approvals, assist with oversight of branch risk management and take on special projects as assigned by the 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.

Required Qualifications

  • 1+ year of financial services industry experience
  • 6+ months 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)


Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills
  • Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)


Job Expectations

  • 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.
  • 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 9/10 and 63/65 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.


Street Address

NC-Charlotte: 401 S Tryon St - Charlotte, NC
TX-Fort Worth: 201 Main St - Fort Worth, TX
MN-Minneapolis: 90 S 7th St - Minneapolis, MN

Disclaimer

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.

Similar jobs

Similar jobs