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Trading Plans & Executive Trading Manager

  • Product Management
  • Full time
  • R-359909

About this role:

Wells Fargo is seeking a Trading Plans & Executive Trading Manager in the Executive Services product area within Investment Products Group as part of Wealth and Investment Management (WIM).  In this role, you will manage a team responsible for control stock identification and Form 144 filing, establish and monitor 10b5-1 plans, and consult about equity-based compensation plans. This team partners with Financial Advisors and high net worth clients to support plan execution and resolve escalated issues. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

  • Manage and develop a teams of highly specialized individual contributors who manage product responsibilities for control stock identification and Form 144 filing, establishment and monitoring of 10b5-1 plans, and consulting about equity-based compensation

  • Educate financial advisors, wealth planners/strategists, and product managers about the unique constraints and opportunities relevant to clients who are senior executives at publicly traded companies

  • Manage expected regulatory changes which may require technology enhancements, changes to process, and developing clear communications for impacted financial advisors and clients, within regulator-specified deadlines

  • Identify and recommend opportunities for process improvement and risk control development

  • Manage the work of addressing self-identified or other issues to a timely and successful resolution

  • Interpret and develop controls and related policies and procedures for functions with moderate to high complexity within scope of responsibility

  • Collaborate and communicate with all levels, including legal, compliance, risk, trading, and technology

  • Familiarity with securities laws and regulations, particularly with respect to Rule 144, distributions of securities in general, insider trading prohibitions and 10b5-1 program trading plans, and related disclosures

  • Ability to follow regulatory developments and analyze proposed regulations quickly to understand business impacts 

  • Basic understanding of the Form 144 filing process and SEC EDGAR database

  • Understand corporate insider trading policies, including trading windows, requirements to obtain pre-clearance prior to sales


Required Qualifications:

  • 6+ years of Product Management, product development, strategic planning, process management, change delivery, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

  • 3+ years of Management experience

  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration


Desired Qualifications:

  • Demonstrated experience educating Financial Advisors and High Net Worth Clients on products and services

  • Experience working with 10b5-1 plans and 144 filings

  • Financial Industry Regulatory Authority (FINRA) Series 24 examination (or FINRA recognized equivalent) sufficient to qualify for immediate FINRA registration

  • Proven experience collaborating with senior leaders and business partners, such as legal, compliance, risk, trading, and technology

  • Demonstrated ability to work independently in order to meet tight deadlines and support time sensitive projects

  • Intermediate proficiency working in MS Office

  • Basic understanding of the Form 144 filing process and SEC EDGAR database

Job Expectation:

  • This position offers a hybrid work schedule

  • This position is not eligible for Visa sponsorship

  • Obtain and/or maintain appropriate FINRA license(s) is required for ongoing employment in this position

  • 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 may also be required

  • This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Location:

  • 1 North Jefferson Street - St. Louis, MO 63103

Posting End Date: 

27 May 2024

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

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, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.


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