WBS Regional Brokerage Mgr

  • Company: Wells Fargo
  • Location: Seattle, Washington
  • Posted: September 08, 2017
  • Reference ID: 5355022-1
Job Description

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.

Wells Fargo & Company (NYSE: WFC) is a nationwide, diversified financial services company with $1.7 trillion in assets. Founded in 1852, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 9,000 locations, more than 12,500 ATMs, online (wellsfargo.com), and mobile devices. Wells Fargo has more than 265,000 team members in 36 countries across our approximately 90 businesses. Wells Fargo & Company was ranked No. 30 on Fortune’s 2015 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

Wealth and Investment Management (WIM) is one of the company’s four main divisions. 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.

Wealth Management (WM): Wealth Management business is a leading provider of financial services to high-net worth clients through Wells Fargo Private Bank, and to the affluent segment through partnerships between Wealth Brokerage Services and the Community Bank. In Wealth Management, clients are provided with a complete range of solutions to help them manage, preserve and transfer their wealth.

The Regional Brokerage Manager (RBM) will be responsibile for the downtown and greater Seattle area - focused on leading brokerage sales and office revenue goals through active coaching, recruiting, and expense management while managing the regulatory supervision of Financial Advisors. Coaches and manages a group of Financial Advisors (FAs) to achieve improved sales results through the consultative sales process leveraging financial planning and driving a full balance sheet approach. Reinforces the utilization of current profiling techniques, by ensuring that a consistent and positive client experience occurs, by coaching FAs to partner with other Wealth Management specialists and Licensed Bankers in local markets, by advocating intra-office collaboration, and by assisting FAs to deliver appropriate client solutions to their clients. Utilizes snapshot data to focus coaching efforts to improve FAs sales results. Retains high performing FAs and those who respond to coaching and demonstrate improved production. Recruits new FAs by actively identifying, meeting prospective financial advisor candidates from other financial institutions and articulating the Wealth Management and Wells Fargo story. Maintains contact with and builds a pipeline of candidates that lead to higher producing FAs joining Wealth Management. Ensures that recruits meet the production, risk and service profile of Wells Fargo and Wealth Management. Partners with other Wealth Management line-of-business managers and specialists, as well as, licensed bankers to deliver full-balance-sheet solutions to clients. Works closely with other Wells Fargo business entity management teams, such as the Regional Bank, Regional Commercial Bank, Business Bank and others to build trust, sales leadership and develop partnerships that grow sales results in Wealth Management and in Wells Fargo. Primarily responsible for managing the efficient and effective regulatory supervision of FAs by acting as the primary securities principal for the FAs. Assures that NYSE, FINRA, SEC and other regulatory bodies, policies are followed in addition to Wells Fargo Advisors and Wells Fargo Bank policies.

Required Qualifications

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

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.
  • Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is required.
  • 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.


    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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