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Experienced Financial Advisor Recruiting and Agreements Administrator

  • Strategy & Execution
  • Full time
  • R-366765

About this role:

Wells Fargo is seeking an Experienced Financial Advisor (FA) Recruiting and Agreements Administrator to join our Agreements Administration group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.


In this role, you will:

  • Serve as a subject matter expert on Experienced FA Recruiting, Financial Advisor Succession, and the Firm's Team Program
  • Administration and due diligence of individual Financial Advisor recruiting agreements, and entry into the succession and team programs
  • Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives
  • Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics
  • Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations
  • Utilize independent judgment to guide moderate risk deliverables
  • Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business
  • Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business
  • Collaborate and consult with leaders and executive management
  • Provide work direction to less experienced Strategy and Execution staff

Required Qualifications:

  • 2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


Desired Qualifications:

  • Strong collaboration and partnering skills
  • Strong analytical skills and ability to build business cases
  • Ability to present reports to and interact with senior leaders
  • Ability to manage administration and due diligence of Financial Advisor related programs
  • Strong Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Experience with Adobe Acrobat Pro
  • Excellent verbal, written, and interpersonal communication skills
  • 2+ years of brokerage industry experience
  • Knowledge and understanding of financial analysis, research, and due diligence; related to full service retail brokerage products
  • Knowledge and understanding of Financial Advisor compensation plans and agreements
  • FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)

Job Expectations:

  • This position is not eligible for Visa sponsorship.
  • 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 CRF 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.

Job Locations:

  • 2801 Market St, F & L Bldg. – St. Louis, Missouri

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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