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Wells Fargo · 6 hours ago

Financial Advisory Branch Manager - Producing (LO)

CHARLOTTESVILLE, VA

Full-time

Onsite

Senior Level

6+ years exp

Wells Fargo is seeking a Financial Advisory Senior Branch Manager – Producing in Wealth and Investment Management as part of Wells Fargo Advisors. The role involves managing a team, overseeing the branch's profit and loss, providing financial advice to clients, and ensuring compliance with regulations.

BankingFinancial ServicesFinTechInsurancePayments

Responsibilities

Manage and develop team of individual contributors or managers in roles with 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

Provide financial advice to the clients based on the required needs and financial circumstances; advise clients regarding advantages and disadvantages of different financial products and determine which financial products are suitable for their needs and financial circumstances

Identify and recommend opportunities for compliance, regulatory, and administrative issues relating to the branch

Determine appropriate strategy and actions of Financial Advisory team to meet moderate to high-risk deliverables; interpret and develop policies, procedures, compliance, or regulatory requirements for the designated branch

Collaborate with and influence all levels of professionals, including senior managers

Manage allocation of people and financial resources to ensure commitments are met and align with strategic objectives in Financial Advisory

Be responsible for promoting the company's image in the community

Develop and guide a culture of talent development to meet business objectives and strategy

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

Qualification

Financial Advisory experienceManagement experienceFINRA Series 7FINRA Series 63Life & Health Insurance licensesTeam developmentCommunication skillsInterpersonal skills

Required

6+ years of Financial Advisory experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

3+ years of management or leadership experience

US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies

A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation

Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary

US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position

FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180-day time period following commencement of employment

The Series 9 & 10 must be completed within the first 120-day time period following commencement of employment

If the Series 9 and 10 are not held at the time of hire, the candidate must have at least 18 months of experience functioning as a registered representative, Series 7, within the five-year period immediately preceding the designation and has fulfilled all applicable prerequisite registration, fee and examination requirements

Compliance with state law registration and licensing requirements is mandatory

In addition to state registration and licensing requirements, 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 licensing 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 is required

Designated insurance license requirements must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire