|Job Description :
||About this role:
Wells Fargo is seeking a PCG Branch Manager – Non-Producing (LO)…
About this role:
Wells Fargo is seeking a PCG Branch Manager, Non-Producing (LO) in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .
In this role you will:
Manage and develop team of individual contributor roles with low to moderate complexity and risk in Financial Advisory functional area
Manage the branch profit and loss statement, develop the branch business plan and look for opportunities to grow the branch
Identify and recommend opportunities for compliance, regulatory, and administrative issues relating to the branch
Responsible for promoting the firms image in the community
Make decisions and resolve issues regarding resources, objectives and operations of Financial Advisory functional area to meet business objectives
Interpret and develop the firm policies and procedures, brokerage operations standards, and governing bodies regulatory roles and regulations
Collaborate with and consult with peers, colleagues and multiple level managers
Serve as a financial advisor for a limited number of personal clients
Manage allocation of people and financial resources for Financial Advisory
Mentor and guide talent development of direct reports and assist in hiring talent
This LO position has customer contact and job duties which may include needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member
This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction
Individuals in a LO position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below
4+ years of Financial Advisory experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of leadership experience
Successfully completed FINRA Series 9/10 exams to qualify for immediate registration (or FINRA recognized equivalents)
Successfully completed FINRA Series 7 and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)
Good verbal, written, and interpersonal communication skills
Leadership and management experience
Ability to interact with all levels of an organization
Life & Health Insurance licenses
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, specific product licenses or SAFE licensing may apply. Wells Fargo will initiate financial and criminal background review process at the time of offer acceptance.
Registration for FINRA Series 66 (or 63 and 65) 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.
Persons who have had the FINRA 7 for a minimum of 18 months, FINRA Series 9 and 10 examinations, or equivalent must be completed within a 90 day time period following commencement of employment. if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance
Designated insurance license requirements 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. Compliance with state law requirements is required.
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, or status as a protected veteran.
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.