Finra Jobs in Spring Valley, NY (NOW HIRING)

The Corporate & Investment Bank (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total relationship with Wells Fargo. Learn more about the career areas and lines of business atwellsfargojobs.com.

About this role:

Wells Fargo is seeking a Lead Investment Banker, Vice President to join the Technology, Media, and Telecommunications (TMT) Group.

In this role, you will:

• Lead complex initiatives and independently manage client relationships, including origination, structuring, and execution of Corporate and Investment Banking products and services

• Drive strategic planning and deliver comprehensive solutions in M&A across public and private clients, and Capital Markets

• Analyze and resolve multi-faceted business and operational challenges, making decisions that influence cross-functional teams and advance new initiatives

• Apply deep knowledge of products, markets, and clients while ensuring compliance and precision in execution

• Demonstrate strong organizational skills, attention to detail, and the ability to manage multiple projects in a fast-paced environment, while mentoring peers and fostering collaboration

Required Qualifications

• 5+ years of Investment Banking experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications

• A BS/BA degree or higher

• Telecom Investment Banking experience

• Excellent verbal, written, and interpersonal communication skills

• A Master's degree or higher in accounting, finance, or economics

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Knowledge and understanding of business development: business vision, strategies, and goals

• Knowledge and understanding of capital markets: deal execution process and standards

• Excellent verbal, written, and interpersonal communication skills

Job Expectations

• Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

• Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

• Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

• 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 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.

• Ability to travel up to 50% of the time

Posting Locations:

• 500 West 33rd St. - New York, New York 10001

New York Pay Range: $275,000-$275,000

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.