Finra Jobs in Layton, UT (NOW HIRING)

About this role:

Wells Fargo is seeking a Financial Relationship Advisory Senior Manager within Wealth & Investment Management (WIM), supporting the Growth team in Digital & Direct Investments.

This leader plays a key role in delivering a scalable, digital-first advisory experience for both new and existing clients. The Growth team is responsible for driving client acquisition, deepening relationships, and expanding engagement across the full suite of Wells Fargo investment products, financial planning solutions, and banking services.

In this role, you will lead a team of Financial Advisors focused on advice-driven growth, balancing client experience, productivity, and risk-managed outcomes. The position contributes directly to executing growth strategies across the direct-to-client platform.

In this role, you will:

• Manage and develop a team of Financial Advisors within a growth-oriented, digital advisory environment
• Drive results related to client acquisition, new accounts, asset growth, and advisor productivity
• Support execution of growth strategies by helping advisors deepen relationships and expand client engagement
• Assess client financial portfolios and guide recommendations aligned to client goals and risk tolerance
• Develop and execute team business plans, including productivity, capacity planning, and performance tracking
• Identify opportunities to improve processes, enhance client experience, and increase operational efficiency
• Make day-to-day decisions to manage workflow, resolve issues, and maintain performance against growth objectives
• Apply and interpret policies, procedures, and compliance requirements in a regulated environment
• Partner with cross-functional stakeholders (risk, compliance, operations, product) to support growth initiatives
• Allocate people and resources to align with growth priorities and business objectives
• Foster a culture of coaching, development, and accountability to elevate advisor performance and client outcomes

Required Qualifications:

• 7+ years of Financial Relationship 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 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Series 9 and 10
• Experience leading advisors in a digital, centralized, or direct-to-client wealth management environment
• Demonstrated success contributing to growth outcomes including new account acquisition, asset inflows, and advisor productivity
• Strong foundation in wealth management, portfolio review, and client relationship development
• Ability to coach advisors on identifying growth opportunities while maintaining compliant, client-focused advice
• Experience executing business plans aligned to growth targets, client segmentation, and performance metrics
• Working knowledge of regulatory requirements, supervisory practices, and risk management in a financial advisory environment
• Proven ability to improve processes that enhance advisor efficiency and client experience
• Strong collaboration and stakeholder management skills across business, risk, and operational partners
• Experience supporting talent development with a focus on coaching, performance management, and skill building
• Ability to operate effectively in a fast-paced, metrics-driven environment with moderate complexity and risk

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent 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
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA 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 and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities and/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.
• This position is not eligible for Visa sponsorship.
• Travel up to 15% of the time

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, 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.