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About this role :
Wells Fargo is seeking a Divisional Governance Specialist 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 :
g., new account forms, daily order review, etc.) for each branch (within the Market), bringing any deficiencies or concerns to Market Administration Management’s attention immediately
Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
Required Qualifications :
Desired Qualifications :
Job Expectations :
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 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.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
This position is not eligible for Visa sponsorship.
Posting location :
1211 Ave. of the Americas, Fl 27 New York, New York
Pay Range
$66,400.00 - $118,000.00
Benefits
Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.
Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.
Posting End Date : 13 Mar 2024
13 Mar 2024
Last updated : 2024-03-09
Full Time
Banking
$88k-118k (estimate)
03/11/2024
04/10/2024
wellsfargo.com
LITCHFIELD, MN
>50,000
1852
Public
SUSAN LEISHER
>$50B
Banking
Wells Fargo is a provider of personal and commercial financial services including banking, mortgage, investment, credit card and insurance.