Wells Fargo Financial Advisory Senior Branch Manager – Non-Producing 

United States, Tennessee, Knoxville 

549566713

About this role:

This manager will also support Johnson City, TN and Morristown, TN

In this role, you will:

• Manage and develop team of individual contributors or managers in roles with moderate complexity and risk in Financial Advisory functional area
• Manage the branch profit and loss statement, develop the branch business plan, and look for opportunities to grow the branch
• Identify and recommend opportunities for compliance, regulatory, and administrative issues relating to the branch
• Be responsible for promoting the company’s image in the community
• Determine appropriate strategy and actions of Financial Advisory team to meet moderate to high-risk deliverables
• Interpret and develop a range of policies and procedures, brokerage operations standards, and governing bodies’ regulatory roles and regulations for functions with moderate complexity within scope of responsibility
• 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 strategic objectives in Financial Advisory
• Develop and guide a culture of talent development to meet business objectives and strategy
• This LO position has customer contact and job duties which may include needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member. This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction. Individuals in a LO position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below

Required Qualifications:

• 6+ 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 experience
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Strong verbal, written, and interpersonal communication skills
• Life & Health Insurance licenses
• Ability to interact with all levels of an organization
• Leadership and management experience
• Ability to grow and develop a team while promoting diversity and inclusion

Job Expectations:

• Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary
• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) 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. Designated insurance license requirements 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
• Ability to travel up to 10% of the time (will travel to other 2 locations once a month)

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

• 265 Brookview Centre Way Ste 100 Knoxville, Tennessee

29 Aug 2024

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.