Regional Supervisor 2 - Private Client Group - Centralized Supervision Unit

Job Description

Let’s talk about building a rewarding career - 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 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 2 will be responsible for providing remote sales supervision and support within assigned branches and/or regions for the PCG, WBS, IRT, and/or IPCS channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations. This work requires working closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues. More specifically, the WFA Regional Supervisor 2 will be active in: Supervising specific sales activities on behalf of retail branch managers such as Annuities, Insurance, Trade Blotter, Trade Alerts, Envision Plans and email; Monitoring sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies; Assist branch offices in resolution of sales activity issues where appropriate; Escalate issues to the appropriate management level for resolution; Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate; Complete 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.

This role will also be responsible for reviewing and ensuring adherence of suitability, including documentation for retirement accounts. Reviews will include items such as: suitability of profile, account activity, recommendations, risk assessment and documentation by the Financial Advisor. Work with branch locations and qualified supervisors to remediate identified issues. May also include ongoing and ad hoc targeted reviews, performing reviews to detect trending; identifying areas of risk and working with partners to ensure it is appropriately and effectively mitigated.

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)

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
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)
  • Bilingual speaking proficiency in Spanish/English

Other Desired Qualifications

**Although “ability to travel 25 percent of the time” is listed as a "Job Expectation", this is not required for the WFA Regional Supervisor 2 – PCG Supervision. Travel is Advertisement

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