About this role:
Wells Fargo is seeking a Financial Advisory Branch Manager, Producing (LO) 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 a team of associates in a Private Client Group branch, and manage the daily administration, operations, and compliance functions
- Identify and recommend opportunities for growth of the designated branch and provide financial advice to the clients based on the required needs and financial circumstances
- Make decisions and resolve issues regarding compliance, regulation, and administration to meet business objectives
- Interpret and develop policies, procedures and compliance, or regulatory requirements for the designated branch
- Provide leadership to expand revenue and client relationships
- Collaborate and consult with peers, colleagues, and multiple level managers
- Interact directly with external clients to assess the financial needs
- Manage allocation of people and financial resources for a designated branch
- Supervise transactional activities within the branch
- Responsible for promoting the firm's brand within the community
- Mentor and guide talent development of direct reports and assist in hiring talent
- 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
- 4+ years of Banking and Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, and/or education
- 2+ years of leadership experience
- Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
- 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 while promoting diversity and inclusion
- Brokerage experience
- 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
- Persons who have had the FINRA 7 for a minimum of 18 months, FINRA Series 9 and 10 examinations, or equivalent must be completed within a 120 day time period following commencement of employment, if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at 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
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.
- In addition to state registration, specific product licenses or SAFE licensing may apply
- Wells Fargo will initiate financial and criminal background review process at the time of offer acceptance.
- Registration for FINRA Series 66 (or 63 and 65) 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.
- Designated insurance license requirements 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. Compliance with state law requirements is required.
This position is not eligible for Visa sponsorship.
Posting location: Dubuque,
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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.