Wells Fargo FiNet Regional Risk Supervisor Team Lead in Saint Louis, Missouri

You’ve got the passion. You’ve got the skills. Now you just need the right opportunity. At Wells Fargo, you’ll have the chance to join a team of intelligent and talented people who share the same values. Our diverse lines of business offer a world of opportunity to expand your capabilities and advance your career. We invest in our people and provide a supportive environment in which to learn and grow.

*Wells Fargo Advisors (WFA): * Wells Fargo Advisors operates the nation’s third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. Wells Fargo Advisors administer $1.4 trillion in client assets. Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology.

As the Regional Risk Supervisor Team Lead (WFA Regional Supervisor 3) you will have the primary responsibility for:

  • Remote compliance supervision of FiNet independent Financial Advisors, Branch Managers and Client Associates

  • Support assigned regions in the on-going monitoring of branch office conformity with internal policies, applicable laws and regulations

  • Conduct certain client account approvals and asset movement approvals

  • Assist with oversight of branch risk management

  • Work with FiNet and practice management to resolve escalated operational issues

  • Function as a subject matter expert and escalation point for Risk team members

  • Take on special projects as assigned by the Manager

Required Qualifications:

  • 4+ years of financial services industry experience

  • 2+ years of experience in branch office compliance, sales supervision, or a combination of both

  • Successfully completed FINRA Series 7 and 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

  • Conflict management and decision making skills

  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) 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

  • A BS/BA degree or higher

  • Ability to follow policies, procedures, and regulations

  • Strong organizational, multi-tasking, and prioritizing skills

  • Adaptable and flexible coaching style which takes into account the needs and learning styles of a diverse team

  • Ability to provide leadership by coaching, training, and mentoring

  • Leadership experience

  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.

  • Ability to travel 50% of the time

  • 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.

  • Registration for FINRA Series 66 (or 63 and 65) must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

Job Expectations:

  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.

  • Ability to travel 50% of the time

  • 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.

  • Registration for FINRA Series 66 (or 63 and 65) must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANTNW/HRMS/c/HRSHRAM.HRSAPPSCHJOB.GBL?Page=HRSAPPJBPST&FOCUS=Applicant&SiteId=1&JobOpeningId=5338688&PostingSeq=1.

All 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.

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.