Wells Fargo Senior Retail Equities Trader & Options 

United States, North Carolina, Charlotte 

371176023

In this role, you will:

• Develop an in-depth understanding of internal order entry platforms, order routing systems, execution venues, and other sources of equity and options order flow.

• Execute equity and option orders from financial advisors, internal/external money managers, and self-directed retail clients.

• Manage client orders efficiently, ensuring best execution and compliance with regulatory requirements.

• Support financial advisors and internal client service teams with market insights, trading strategies, and execution solutions.

• Contribute to the development of desk policies and procedures and ensure consistent understanding across trading desk personnel.

• Review and analyze trading-related technology issues and other potential risk events, including communication and escalation to trading desk leadership

• Utilize data analytics to drive system enhancements and efficiencies

• Collaborate and consult with trading desk colleagues, trading desk managers, and other internal partners.

Required Qualifications:

• 4+ years of Retail Equities or Options Trading experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Successfully completed FINRA Series 7, Series 63, and Series 55 exams (or FINRA recognized equivalents) to qualify for immediate registration.

Desired Qualifications:

• FINRA Series 24 (or FINRA recognized equivalents)

• Extensive equity or options trading experience

• Knowledge and in-depth understanding of trading desk operations, order management platforms, market data systems, and U.S. equity markets

• Experience collaborating with financial advisors or other investment professionals

• Strong analytical skills with attention to detail, accuracy, and multi-tasking abilities

• Ability to work in a fast-paced, deadline driven environment

• Bachelor's degree, preferably in business

Job Expectations:

• Registration for FINRA Series 24 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 not eligible for Visa sponsorship

• 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

• 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.

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.

Posting Location:

• 550 S. Tryon Street – Charlotte, NC 28202

• Required location listed above. Relocation assistance is not available for this position.

Wells Fargo Recruitment and Hiring Requirements:

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