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Profit Formula Financial Consultant

  • Client Management
  • Full time
  • R-293131

About this role:

Wells Fargo is seeking a PF Financial Consultant 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:

  • Work with the Financial Advisor in providing clients with financial advice consistent with clients goals and risk tolerance.
  • Meet with clients to collect financial information
  • Assess investment profile and evaluate clients financial needs.
  • Advise clients regarding advantages and disadvantages of different financial products and determines which financial products are suitable for client needs and financial circumstances.
  • Work to increase and retain existing client assets and meet potential new clients.
  • May be delegated selected responsibilities by the Financial Advisor.
  • 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, US:

  • 2+ years of Investment Advice experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
  • Insurance licenses


Desired Qualifications:

  • Full service brokerage experience
  • Financial advisement or planning experience
  • Client relationship management experience
  • Knowledge and understanding of Salesforce, Smart Station or contact management system
  • Financial services sales experience
  • High level of initiative and accountability
  • Experience developing and cultivating professional relationships
  • Good verbal, written, and interpersonal communication skills
  • Solid organizational, multi-tasking, and prioritizing skills
  • CFP designation


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
  • Obtaining and/or maintaining 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.

This position is not eligible for Visa sponsorship.

Posting Location: 83 Wooster Heights Road, Danbury, CT 06810

Pay Range

$0.00 - $0.00 Annual

Benefits

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit  Benefits - Wells Fargo Careers  for an overview of the following benefit plans and programs offered to employees.

  • 401(k) Plan
  • Paid Time Off
  • Parental Leave
  • Critical Caregiving Leave
  • Discounts and Savings
  • Health Benefits
  • Commuter Benefits
  • Tuition Reimbursement
  • Scholarships for dependent children
  • Adoption Reimbursement

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.

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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