Job Description

About this role:

Wells Fargo is seeking a Financial Advisory Senior Branch Manager – Producing in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about our career areas and lines of business at  wellsfargojobs.com .  .

In this role, you will:

• Manage and develop team of individual contributors or managers in roles with moderate complexity and risk in Financial Advisory functional area 

• Manage the branch profit and loss statement, develop the branch business plan, and look for opportunities to grow the branch 

• Provide financial advice to the clients based on the required needs and financial circumstances; advise clients regarding advantages and disadvantages of different financial products and determine which financial products are suitable for their needs and financial circumstances 

• Identify and recommend opportunities for compliance, regulatory, and administrative issues relating to the branch 

• Determine appropriate strategy and actions of Financial Advisory team to meet moderate to high-risk deliverables; interpret and develop policies, procedures, compliance, or regulatory requirements for the designated branch 

• Collaborate with and influence all levels of professionals, including senior managers 

• Manage allocation of people and financial resources to ensure commitments are met and align with strategic objectives in Financial Advisory 

• Be responsible for promoting the company's image in the community 

• Develop and guide a culture of talent development to meet business objectives and strategy 

• This LO position has customer contact and job duties which may include needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member. This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction. Individuals in a LO position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below 

Required Qualifications:

• 6+ years of Financial Advisory experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• 3+ years of management or leadership experience

• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Currently managing a book of business 

• Strong verbal, written, and interpersonal communication skills 

• Life & Health Insurance licenses 

• Ability to interact with all levels of an organization 

• Leadership and management experience 

• Ability to grow and develop a team

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Job Expectations:

• Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180-day time period following commencement of employment.  The Series 9 & 10 must be completed within the first 120-day time period following commencement of employment.    If the Series 9 and 10 are not held at the time of hire, the candidate must have at least 18 months of experience functioning as a registered representative, Series 7, within the five-year period immediately preceding the designation and has fulfilled all applicable prerequisite registration, fee and examination requirements. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing 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 is required. Designated insurance license requirements must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit  Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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