Wells Fargo is seeking a Private Wealth Advisor (SAFE) to join our Wealth Management team
In this role, you will:
- Be responsible for identifying prospective clients with investable assets of at least $10MM or net worth of at least $25MM and bringing them to Wells Fargo Wealth Management (WM).
- Lead complex initiatives for identifying prospective client, client acquisition, as well as the tailoring or delivery of products, services, and resources to clients based on their needs
- Ensure all appropriate measures are taken to mitigate risk
- Review and analyze client inquiries and issues related to complex accounts and exercise independent judgment to guide medium risk business objectives
- Prepare or deliver presentations and relationship reviews to clients under the guidance of more experienced individuals when needed
- Make decisions in complex and multi-faceted situations requiring a sound understanding of Wealth Relationship Management functional area, policies, procedures, and compliance requirements that influence and lead a broader work team to meet deliverables and drive new initiatives
- Serve as relationship manager and informal leader of internal teams for Wealth Management and lead Tactical Sales Process and Client Discovery Review to gather information about prospects, clients, future plans, goals, and objectives
- Collaborate and consult with Wealth Relationship Management peers, colleagues, and more experienced managers to resolve issues and achieve business objectives
- Lead Wealth Relationship Management projects and teams, or serve as a mentor for the less experienced individuals
- This SAFE position has customer contact and job duties which may include the offering/negotiating of terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the S.A.F.E. Mortgage Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below
- 5+ years of Wealth Relationship Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Existing book of business cultivated through personal business development efforts
- Relationship management experience
- 5+ years of experience with high net worth and ultra-high net worth client portfolios across a broad array of wealth management products and services
- Experience teaming with specialists from different disciplines to meet the complex financial needs of clients
- Commercial credit experience
- Well-developed centers of influence network
- Extensive knowledge of the local market
- Master of Business Administration, CERTIFIED FINANCIAL PLANNER (tm) practitioner, Chartered Financial Analyst, Certified Public Accountant or Juris Doctorate
- Strong collaboration and partnering skills
- Series 7 and 66, or equivalent, plus Life and Health Insurance licenses 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 mandatory.
- 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.
- This position requires SAFE registration at the time of employment. Wells Fargo will initiate the SAFE registration process immediately after your employment start date. The Nationwide Mortgage Licensing System (NMLS) web site ( http://fedregistry.nationwidelicensingsystem.org ) provides the MU4R questions and registration required for employment in this position.
- 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.
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
CA: $138,500.00 - $287,600.00 Annual
Pay Range$138,500.00 - $287,600.00 Annual
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.
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