PCG Asst Branch Manager (Lo)

Job Title:

PCG Asst Branch Manager (Lo)

Job ID Number:

5165980

Schedule Type:

Reg-Time

Work Hours:

40

Location:

Raleigh,NC

Qualifications:

Job Description

Assist with recruiting, productivity, administration, compliance, and operations functions within the branch as delegated by the Branch or Market/Complex Manager. May recruit, coach, mentor, and assist in training Financial Advisors at the direction of the Branch or Market/Complex Manager. May act as a point-of-contact for compliance, regulatory, and administrative issues relating to the branch in the absence of the Branch or Market/Complex Manager as delegated by the Branch or Market/Complex Manager. Must possess a comprehensive understanding of firm policies and procedures, brokerage operations principles and governing bodies regulatory roles and regulations. May also serve as a Financial Advisor for personal clients. Meets with clients to collect financial information, assess investment profile and evaluate client s financial needs. Advises clients regarding advantages and disadvantages of different financial products and determines which financial products are suitable for client needs and financial circumstances. Works to increase and retain existing client assets and meet potential new clients.

Required Qualifications

Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

Leadership and management experience Good verbal, written, and interpersonal communication skills Ability to interact with all levels of an organization Knowledge and understanding of book of business of $300k or more

Job Expectations

Registration for FINRA Series 66 (or 63 and 65) must be completed within 90 days of hire date. 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 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. 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.

Disclaimer

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.