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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
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