Financial Advisor Senior Area Manager

About this role: 

Wells Fargo is seeking a Financial Advisory Senior Area Manager in Wealth and Investment Management as part of Wells Fargo Advisors.

For additional information on this line of business, refer to the external Careers Site at wellsfargojobs.com. 

In this role, you will: 

• Develop and guide a culture of talent development to meet business objectives and strategy Manage and develop a team of Financial Advisors with moderate complexity and risk to achieve improved sales results through consultative sales process leveraging financial planning and driving a full balance sheet approach 

• Engage and influence stakeholders and internal partners associated with Financial Advisory function or affected by its outcomes 

• Identify and recommend opportunities for positive client experience by coaching Financial Advisors to partner with other wealth management specialists and licensed bankers in local markets 

• Assist Financial Advisors in delivering appropriate solutions to their clients 

• Determine appropriate strategy and actions of Financial Advisory team to meet moderate to high-risk deliverables 

• Interpret and develop Financial Advisory policies and procedures for functions with moderate complexity within scope of responsibility to ensure quality and that the service standards meet business objectives 

• 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 

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

 Required Qualifications: 

• 7+ 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 

 
Desired Qualifications: 

• Series 9 and 10  

• Strong verbal, written, and interpersonal communication skills 

• Life and Health insurance licenses 

• Experience developing and executing wealth management business strategies tied to a common vision, which maximizes revenue and profitability 

• Ability to build successful relationships and influence across organizations at multiple levels, while driving results 

• Leadership skills including the ability to work effectively in a matrix environment 

• Ability to grow and develop a team  

• Experience managing and developing a team of financial advisors 

 
Job Expectations: 

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within a 120 day time period following commencement of employment. If the Series 9 and 10 are not completed 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. FINRA Series 65 or 66 examinations or equivalent 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. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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 

• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. 

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process. 

• This position is not eligible for Visa sponsorship. 

Pay Range
 

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.