Finra Series 3 Jobs (NOW HIRING)

About this role:

Wells Fargo is seeking a Financial Advisory Senior Area Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Foradditionalinformation on this line of business, refer to the external Careers Site atwellsfargojobs.com.

In this role, you will:

• Develop and guide a culture of talent development to meet businessobjectivesandstrategy
• Manageand develop a team of Financial Advisors with moderate complexity and risk to achieve improved sales results through consultative sales processleveragingfinancial 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
• Identifyand 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 deliveringappropriate solutionsto their clients
• Determineappropriate strategyand 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 strategicobjectivesin Financial Advisory
• Develop and guide a culture of talent development to meet businessobjectivesand 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 9and10
• 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 skillsincludingthe ability to work effectively in a matrix environment
• Experience managing and developing a team of financial advisors

Job Expectations:

• US only: Obtaining and/ormaintainingappropriate FINRAlicense(s) isrequiredfor ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within a120 daytime periodfollowing commencement of employment. If the Series 9 and 10 are not completed at the time of hire, the candidate must have at least18 monthsof 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 a90 or180 daytime periodfollowing commencement ofemployment.,depending upon the number of license(s) needed if notimmediatelyavailable 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.Additionalrequirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo willinitiatethe 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 isrequired. Designated insurance license requirements must be completed within either a 90 or 180-daytime periodfollowing commencement of employment, depending upon the number of license(s) needed if notimmediatelyavailable to transfer upon hire

• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior tohire.In accordance withFINRA 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 andcomply withongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

• Specific compliance policies may applyregardingoutside activities and/or personalinvesting; 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.

Location

• 101 S Capitol Blvd
  BOISE, ID 83702
  United States of America

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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, visitDisability 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.