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  • ID
    #20125536
  • Salary
    TBD
  • Source
    Wells Fargo
  • Date
    2021-09-23
  • Deadline
    2021-11-21
 
Full-time

Vacancy expired!

Job DescriptionImportant 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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Wealth & Investment Management, or 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

WIM serves clients through the following businesses:Wells Fargo Private Bank serves high-net-worth individuals and families.

Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.

Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.Responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings to the Market/Complex Admin Manager on a daily basis. Works with the Market/Complex Admin Manager to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by the Market/Complex Admin Manager (e.g., new account forms, daily order review, etc.) for each branch (within the Market/Complex), bringing any deficiencies or concerns to the Market/Complex Admin Manager s attention immediately.Required Qualifications3+ years of financial services compliance experience

Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired QualificationsFINRA registration including Series 65 (or FINRA recognized equivalents)

FINRA registration including Series 66 (or FINRA recognized equivalents)

Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

Ability to negotiate and facilitate issue resolution

Ability to process complex transactions and perform extensive research to resolve complex customer issues

Knowledge and understanding of brokerage: account processes and compliance procedures

Knowledge and understanding of brokerage: systems or applications

Effective organizational, multi tasking, and prioritizing skills

Strong attention to detail and accuracy skills

Strong client service skills

Strong verbal, written, and interpersonal communication skills

FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job ExpectationsAbility to travel up to 10% of the time

Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

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

Registration for FINRA Series 9/10 and 65 or 66 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. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.

Street AddressOH-Cleveland: 950 Main Avenue - Cleveland, OHOH-Cincinnati: 8044 Montgomery Rd - Cincinnati, OHOH-Akron: 3800 Embassy Pkwy - Akron, OHOH-Westerville: 380 Polaris Pkwy - Westerville, OHOH-Toledo: 7335 Crossleigh Ct - Toledo, OHDisclaimerAll offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.Benefits SummaryBenefitsVisit https://www.wellsfargo.com/about/careers/benefits for benefits information.Company: Wells FargoReq Number: 5601068-5Updated: 2021-09-23 01:33:17.751 UTCLocation: Toledo,OH

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