Finra License Jobs in Missouri (NOW HIRING)

The WIM Investment Solutions Center of Excellence (IS COE) is looking for an Investment Portfolio Control Consultant in the FA Directed Portfolio Analysis (FADPA) team. The FADPA team is responsible for monitoring of investment risk for advisors that have both discretion and fiduciary responsibility. This group also provides portfolio analytics support for Advisors seeking analytics and assistance. The team is responsible for partnering with the relevant business group across the Wells Fargo Advisors (WFA) organization to identify, assess, manage and mitigate current and emerging investment risk.

The team member will work directly with Financial Advisors, plus will collaborate with other business leaders in the firm. This role will include leveraging sophisticated third-party tools and internal reporting to help advisors identify appropriate benchmarks for the portfolios.

Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Work with advisors daily providing investment risk data, reviewing investment strategies and benchmarks, and identifying key risk in client accounts. Conduct proactive reach outs to advisors to help them reduce investment risk in client accounts. Help train advisors on the use of analytic tools and firm resources, key investment risk controls, and the resolution to control alerts.
• Performs various moderately complex activities related to assessing portfolio risk exposures.
• Identify, assess, manage and mitigate current and emerging investment risk. Provides an aggregate view of portfolio risk and serves as a subject matter expert for measuring and managing investment risk.
• Utilizes multiple complex data sources; complies and mines sources to achieve data needs for analyses. Adheres to data management/data governance regulations and policies for data integrity.
• Consult and provide input into business processes, control execution, policies and procedure implementation and governance. Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management.

Required Qualifications:

• 2+ years of investment portfolio control experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 2+ years of Investment acumen and Investment risk experience
• FINRA registration including Series 7 and Series 66 (or FINRA recognized equivalents)
• Experience implementing policies and procedures, oversight of controls, and conducting supervisory review tasks
• Ability to prioritize work, meet deadlines, achieve goals and work under pressure in a dynamic and complex environment
• Strong analytical skills with high attention to detail and accuracy
• Experience leading projects with third party vendors such as Blackrock Aladdin, Morningstar Direct or FactSet
• Intermediate Microsoft Office Skills, including Excel
• Excellent verbal, written, and interpersonal communication skills
• BS/BA degree or higher in accounting or finance, computer science, engineering or other scientific background
• Chartered Financial Analyst (CFA) designation or demonstrated progress toward the designation

Job Expectations:

• US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, (or FINRA recognized equivalents) 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.
• 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 not eligible for Visa sponsorship

Posting Location:

• 1 N. Jefferson Ave, Saint Louis, MO 63103
• 550 S. Tryon Street, Charlotte, NC 28202
• Required location listed above. Relocation assistance is not available for this position.