Fort Worth, Texas

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:

o    Building enduring client relationships through sound, thoughtful, and objective advice
o    Developing individualized plans for clients to help meet their financial objectives
o    Helping clients build, manage, preserve, and transition their financial resources and wealth

WIM serves clients through the following businesses:

o    Wells Fargo Private Bank serves high-net-worth individuals and families.
o    Abbot Downing serves ultra-high-net-worth individuals and families. 
o    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. 
o    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 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 and Financial Advisors.  The role provides direct supervision of certain PCG Profit Formula standalone offices; and supports the PCG/WBS regions in the on-going monitoring of branch office conformity with internal policies, applicable laws and regulations.  Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities. 

Key responsibilities include: 
• Provide support to WFA Regional Supervisor 2 and/or 3 as needed
• Conduct certain client account approvals
• Assist with oversight of branch risk management
• Complete special projects assigned by the manager

This position is located in the Charlotte, NC; Minneapolis, MN, Fort Worth, TX markets.  Telecommute/remote work location is not an option.f



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)
  • Successfully completed FINRA Series 63 (or 66) exams 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
  • Strong attention to detail and accuracy skills
  • Solid conflict management and decision making skills
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)



Other Desired Qualifications
  • 1+ years sales supervision 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.



Street Address

TX-Fort Worth: 201 Main St - Fort Worth, TX
NC-Charlotte: 401 S Tryon St - Charlotte, NC
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.



Benefits Summary

Benefits
 

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

Fort Worth, Texas

At Wells Fargo, we’ve been proudly supporting military veterans and their families for more than 170 years.

We value the leadership, discipline, and skills you’ve gained through your service to our country and recognize the contributions our veteran team members bring to the table. We’re so committed to hiring and retaining military veterans, veterans with disabilities, National Guard members, and Reservists that we’ve made it our goal is to employ 20,000 veterans by 2020.

As a Wells Fargo team member, you’ll find a work culture that is team-oriented, collaborative, structured, and challenging. We support veterans transitioning from military service with a variety of job options, confidential resources, educational information, and career guidance. You may choose to join our Veteran’s Team Member Network, a group of thousands who share an interest in veterans’ matters, and that promotes greater awareness and job development within the veteran community. To learn more about opportunities at our company, please visit wellsfargojobs.com/military. Let’s talk about turning your military experience into a great civilian career.

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