USA

WFA Regional Supervisor 2

locationSt. Louis - Missouri (MO), 63103

atWells Fargo

Estimated salary $11.40 an hour

Job Description:

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth.

A WFA Regional Supervisor 2 will be a member of a team that will be responsible for providing remote sales supervision and support within assigned branches and/or regions for the PCG, WBS, IRT, and/or LATAM channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations. This work requires working closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues. More specifically, the RBS will be active in: Supervising specific sales activities on behalf of retail branch managers such as Annuities, Insurance, Trade Blotter, Trade Alerts, Envision Plans and email; Monitoring sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies; Assist branch offices in resolution of sales activity issues where appropriate; Escalate issues to the appropriate

management level for resolution; Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate; Complete other duties as assigned by the Supervision Manager. Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities. If required, the FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.


Required Qualifications

  • 2+ years of financial services industry experience
  • 1+ year of experience in branch office compliance, sales supervision, or a combination of both
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

  • Conflict management and decision making skills
  • Intermediate Microsoft Office skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Strong negotiation skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of branch associates and business units
  • Strong attention to detail and accuracy skills
  • Experience resolving and working through escalated and complex issues
  • Brokerage industry experience
  • Ability to motivate a team and lead strategic initiatives, collaborating across a large organization and multi-tasking as required
  • Risk and regulatory compliance experience

Job Expectations

  • 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.
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required


Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MO-Saint Louis: Min: $61,900 Mid: $87,200

Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

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