Registration Manager 2 - Wells Fargo Advisors - St. Louis, MO

Wells Fargo - St. Louis, MO

Full-time
Job Description
At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

The Registration Manager 2 is responsible for the development, implementation and monitoring of a registration program to ensure compliance with internal and external policies/regulations. Manages a dedicated team of Registration Associates. Provides registration and regulatory expertise to business unit projects and initiatives. Is the point of contact for escalated issues in senior management s absence. Ensures effective interaction and communication within the business, with Compliance, the Law Department, Internal Audit, other business units, and external agencies and regulatory organizations as necessary. Works within Registration as well as with other business unit management to resolve issues and address deficiencies Provides leadership and strategic assistance for the Department. Creates or authorizes changes to the business unit s policies, procedures, and controls as necessary to assure regulatory conformity and promote efficiencies. Provides oversight of examinations conducted by internal and external parties. Prepares and/or supervises the preparation of reporting for senior management and internal/external regulatory entities. Works with senior management on special projects. Coordinates proper staffing and coverage for the Department.

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.
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 CRF 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.

Required Qualifications

6+ years of experience in registration; or 6+ years of experience in compliance with 4+ years of experience in registration
2+ years of leadership or management experience in registration

Desired Qualifications

Advanced Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to articulate complex concepts in a clear manner
Ability to handle information professionally and confidentially

Street Address
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

Disclaimer

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 Orientation.

WEALTH INV MGMT/WIM PSI