Important Note: During the application process, ensure your
contact information (email and phone number) is up to date and
upload your current resume when submitting your application for
consideration. To participate in some selection activities you will
need to respond to an invitation. The invitation can be sent by
both email and text message. In order to receive text message
invitations, your profile must include a mobile phone number
designated as "Personal Cell" or "Cellular" in the contact
information of your application.
At Wells Fargo, we are looking for talented people who will put
our customers at the center of everything we do. We are seeking
candidates who embrace diversity, equity and inclusion in a
workplace where everyone feels valued and inspired.
Help us build a better Wells Fargo. It all begins with
outstanding talent. It all begins with you.
Wealth & Investment Management, or WIM, is one of the United
States' leading providers of financial and investment services. WIM
provides a full range of personalized wealth management,
investment, and retirement products and services to meet clients'
unique needs and help them achieve financial goals. Our mission is
to help clients pursue their financial goals with confidence. We
accomplish this by:
- Building enduring client relationships through sound,
thoughtful, and objective advice
- Developing individualized plans for clients to help meet their
- Helping clients build, manage, preserve, and transition their
financial resources and wealth
WIM serves clients through the following businesses:
- Wells Fargo Private Bank serves high-net-worth individuals and
- Abbot Downing serves ultra-high-net-worth individuals and
- Wells Fargo Advisors provides investment advice and guidance to
clients through more than 13,200 full-service financial advisors
and referrals from more than 5,450 licensed bankers.
- Wells Fargo Asset Management brings together a strategic
balance of investment capabilities to serve the investment needs of
institutions, financial advisors, and individuals worldwide.
Through Wells Fargo Private Bank and Abbot Downing, WIM is also
a leading provider of trust, investment, and fiduciary services,
including personal trust services and a number of specialized
wealth services designed to meet the diverse needs of
The Field Support Governance Specialist responsible for
reviewing all compliance systems and reporting as required for ther
assigned branches within the Market and reports the findings to the
Market/Complex Admin Manager on a daily basis. Works with the
Market/Complex Admin Manager to ensure that branch compliance
procedures fulfill all compliance requirements. Performs ongoing
regulatory, compliance, and operational reviews as well as other
duties as assigned, as delegated by the Market/Complex Admin
Manager (e.g., new account forms, daily order review, etc.) for
each branch (within the Market/Complex), bringing any deficiencies
or concerns to the Market/Complex Admin Manager s attention
- 3+ years of financial services compliance experience
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams
to qualify for immediate registration (or FINRA recognized
- FINRA registration including Series 9/10 (or FINRA recognized
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multi tasking, and prioritizing
- Strong verbal, written, and interpersonal communication
- Knowledge and understanding of brokerage: systems or
- Ability to process complex transactions and perform extensive
research to resolve complex customer issues
- Ability to make timely and independent judgment decisions while
working in a fast-paced and results-driven environment
- Ability to negotiate and facilitate issue resolution
- For specific FINRA qualification exams obtained after
9/30/2018, the Securities Industry Essentials (SIE) exam
co-requisite may also be required
- Registration for FINRA Series 99 must be completed within 120
days of hire date if it is not available for transfer upon hire.
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.
- Registration for FINRA Series 9/10 and 65 or 66 must be
completed within a 90 or 180-day time period contingent upon 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.
- Ability to travel up to 5% of the time
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
for benefits information.