About this role:

Wells Fargo is seeking an Assistant Market Leader to assist the Market Manager in the management of a Private Client Group Metropolitan Market.

In this role, you will:

• Be responsible for recruiting, local marketing, market planning, team development, administration, compliance, and operations functions within the market in partnership with or on behalf of the Market Manager.
• Will recruit, coach, mentor, and assist in training Financial Advisors (FAs).
• Will work with the Market Manager to market and promote the firm's image in the local community, develop the market business plan, look for opportunities to grow the market share and assist with the management of the market profit and loss spreadsheet.
• Drives various productivity, expense and other initiatives.
• Must possess a comprehensive understanding of firm policies and procedures, brokerage operations principles and governing bodies regulatory roles and regulations.
• Develops relationships with key FAs and works to minimize FA attrition.

Required Qualifications, US:

• 5+ years of Banking and Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of leadership experience
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9, 10 (or 24), and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Strong verbal, written, and interpersonal communication skills
• Life and Health insurance licenses
• Ability to build successful relationships and influence across organizations at multiple levels, while driving results
• Ability to grow and develop a team while promoting diversity and inclusion
• Advanced knowledge and understanding of firm policies and procedures, brokerage operations principles and governing bodies regulatory roles and regulations
• Leadership experience, including coaching, training, and mentoring financial advisors

Job Expectations:

• Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary
• Ability to travel up to 25% of the time
• Persons who have FINRA Series 24 must successfully complete series registration for FINRA Series 9/10 within 120 days of hire date if it is not available for transfer upon hire.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
• 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
• Registration for FINRA Series 66 (or 63 and 65) 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
• Designated insurance license requirements must be completed within 90 days of hire date. Compliance with state law requirements is required.

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:

• 1512 Eureka Rd, Roseville, California

Pay Range
$122,200.00 - $217,200.00 Annual
Benefits

• Information about Wells Fargo's employee benefits

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.