Complex Manager, Non-Producing- Private Client Group

  • Company: Wells Fargo
  • Location: Orlando, Florida
  • Posted: August 11, 2017
  • Reference ID: 5349161-1
Job Description

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.

It starts with you. Our goal is to attract, develop, retain and motivate the most talented people - those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.

Responsible for two or more Private Client Group office locations, including Profit Formula offices, which comprise a Complex. Is the direct supervisor for all Branch Managers/Branch Supervisors and/or Financial Advisors in a branch satellite or stand - alone Profit Formula office in the Complex and must possess a comprehensive understanding of firm policies and procedures, brokerage operations principles and governing bodies regulatory roles and regulations. Responsible for recruiting, productivity and leadership, managing the profit and loss statement, developing the business plan, and growing the Complex. May also act as the Branch Manager for the primary office in the Complex. If acting as the Branch Manager, responsible for ensuring that all compliance and regulatory requirements are being met on a day to day basis. Oversees the administration and operations in the primary office and handles escalated issues from other offices in the Complex. Responsible for promoting the firm s image within the local community.

Required Qualifications

  • 5+ years of financial services experience
  • 2+ years of branch management or leadership experience
  • Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

  • Recruiting skills
  • Leadership and management skills
  • Good verbal, written, and interpersonal communication skills
  • FINRA registration including Series 3 (or FINRA recognized equivalents)

Job Expectations

  • Registration for FINRA Series 66 (or 63 and 65) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • 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.


    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.

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