Retail Equities Trader

About this role:

Wells Fargo is seeking a Retail Equities Trader focused on high-touch equity trading within Wealth and Investment Management. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Develop an in-depth understanding of internal order entry platforms, order routing systems, execution venues, and other sources of equity order flow.
• Execute equity and option orders from financial advisors, internal/external money managers, and self-directed retail clients.
• Manage client orders efficiently, ensuring best execution and compliance with regulatory requirements.
• Assist electronic order desk with monitoring and oversight activities related to equity order flow
• Review and analyze trading-related technology issues and other potential risk events, including communication and escalation to trading desk leadership
• Utilize data analytics to drive system enhancements and efficiencies
• Collaborate and consult with trading desk colleagues, trading desk managers, and other internal partners.

Required Qualifications:

• 2+ years of Trading, Customer Service experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully completed FINRA Series 7 and Series 63 (or FINRA recognized equivalents) to qualify for immediate registration

Desired Qualifications:

• FINRA Series 57 (or FINRA recognized equivalents)
• Bachelor's degree, preferably in business
• Equity trading experience
• Knowledge and understanding of trading desk operations, order management platforms, market data systems, and U.S. equity markets.
• MS Office (Teams, Outlook, Word, Excel, PowerPoint) and Copilot experience.
• Experience collaborating with financial advisors or other investment professionals.
• Strong analytical skills with attention to detail, accuracy, and multi-tasking abilities.
• Ability to work in a fast-paced, deadline driven environment

Job Expectations:

• Registration for FINRA Series 57 (or FINRA recognized equivalents) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• This position is not eligible for Visa sponsorship
• Specific compliance policies may apply regarding outside activities 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
• 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.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.

Posting Location:

• 2801 Market St, F&L Bldg - Saint Louis, MO 63103
• 550 S. Tryon Street – Charlotte, NC 28202
• Required location listed above. Relocation assistance is not available for this position.

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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.