Job Description

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth & Investment Management, or 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

WIM serves clients through the following businesses:

* Wells Fargo Private Bank serves high-net-worth individuals and families
* Abbot Downing serves ultra-high-net-worth individuals and families
* Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers
* Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide

Through Wells Fargo Private Bank and Abbot Downing, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

The WellsTrade Regional Supervisor 1 is responsible for supporting WellsTrade (WT), Intuitive Investor (II), and Wells Fargo Advisors Solutions (WFAS); the WFA Regional Supervisor 1 supports the channels with ongoing monitoring of conformity with internal policies, applicable laws and regulations. This team member provides support to management, conducts certain client account approvals, assists with oversight of risk/fraud management, and takes on special projects as assigned by management.

Client account approvals include, but are not limited to:

* New Account review and approval
* Option agreement approval
* Margin agreement approval
* Various asset movement approvals
* Security removal approvals
* Account update approvals
* Various account documents
* Client correspondence review and submission of complaints when necessary

The individual in this role will also assist and support Anti-Money Laundering, Compliance, Central Operations, and WT Risk/WFAS teams by reviewing escalated account transactions and working with these teams to resolve issues including closing down accounts if applicable.

While not a call center, there may situations where an outbound phone call to a client is necessary to confirm a transaction handled by the team.

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
* Brokerage operations experience
* FINRA registration including Series 66 (or FINRA recognized equivalents)
* FINRA registration including Series 9/10 (or FINRA recognized equivalents)
* Ability to manage a pipeline of work from assignment to completion
* Ability to meet or exceed business goals and objectives, while fostering a team atmosphere
* Knowledge and understanding of risk management
* Strong attention to detail and accuracy skills
* Strong telephone etiquette skills

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.

Salary Information
The salary range displayed below is based on a Full-time 40 hour a week schedule.

VA-Glen Allen: Min: $53,400 Mid: $74,100 Max: $94,800

Street Address
VA-Glen Allen: 4340 Innslake Dr - Glen Allen, VA

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.

Benefits Summary
Benefits
Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.