Wells Fargo Advisors Regional Supervisor 1-Middle Office Services Group Qualified Principal

Wells Fargo Advisors LLC
Job Description
Job Opening ID #5441274
At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. 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) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
Wells Fargo Advisors (WFA) Middle Office Services Group: The Middle Office Services Group (MOSG) is responsible for supporting several channels within Wells Fargo Advisors. MOSG supports the Private Client Group (PCG), Wealth Brokerage Services (WBS), WellsTrade (WT), and Wells Fargo Advisors Solutions (WFAS).
WFA Regional Supervisor 1 – Middle Office Services Group Qualified Principal: The WFA Regional Supervisor 1 supports the channels with ongoing monitoring of conformity with internal policies, applicable laws, and regulations. The Middle Office Services Group provides support to lines of business that support clients that speak, both verbally and written, in Spanish. Client account approvals include Wire Funds review and approval; various asset movement approvals; PO Box account update approvals; Letter of Authorizations approvals; ACH/Banklink approvals; in addition to placing outbound calls to clients to confirm transactions.
Additional Responsibilities:
- Assist with facilitating money movement in a fast paced environment by processing service requests.
- Assist internal and external clients by providing excellent customer service.
- Provide support to management.
- Conduct certain client account approvals.
- Assist in helping meet department service level agreements.
- Assist with oversight of risk/fraud management and takes on special projects as assigned by the manager.
Please note: Middle Office Services Group is open from 8:00am to 6:00pm CST in St. Louis, MO. The selected candidate may be required to support additional hours outside of normal business hours as volume dictates.
Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities.
Required qualifications
• 1+ year of financial services industry experience
• 6+ months of experience in branch office compliance, sales supervision, or a combination of both
• Bilingual speaking and reading proficiency in Spanish/English
• Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Desired qualifications
• Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Excellent verbal, written, and interpersonal communication skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• 1+ year experience reviewing, processing, or approving asset movement requests such as journals, ACHs, DTCs, partial ACATS, and wires
• Knowledge and understanding of risk management
• Ability to identify and assess issues then make sound decisions
• 1+ year experience reviewing New Account Applications and client documentation
• Ability to quickly learn business operations and processes
• Strong attention to detail and accuracy skills
• Ability to work as part of a team and collaborate with others to meet service level agreements and complete daily goals
• Demonstrated ability to grasp the essence of new information; mastering new technical and business knowledge
• 3+ years brokerage experience related to front office or back office operations
• Understanding of WellsTrade and Wells Fargo Advisors Solutions business channels
• Knowledge of Service Request workflow and/or completing tasks from a queue
• Bilingual speaking, reading, and writing proficiency in Portuguese/English
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
• Registration for FINRA Series 9/10 must be completed within 90 days of hire date. FINRA recognized equivalents will be accepted
• Ability to travel up to 5% of the time

To view the full job description and apply
• Visit wellsfargojobs.com.
• Search for this job by entering the Job ID number (enter the number only — no text) into the Keyword search field.
* If job search returns with no results, posting is no longer active.
Contact Information