Branch Complex Director

3 weeks ago

Waukesha, Wisconsin, United States WELLS FARGO BANK Full time

About this role:

Wells Fargo is seeking a Branch Complex Director in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com.

The Branch Complex Director role will lead branch(es) within a market of Wells Fargo Advisors. This role is responsible for building an environment that fosters significant and sustained organic and inorganic growth. Organic growth by coaching and providing programs for our existing Financial Advisors focused on new client acquisition; deepening the existing client relationships by taking advantage of the entire set of solutions; and by coaching to a process for Advisors and their teams to provide outstanding client service and care. The leader will focus on inorganic growth by building, maintaining, and hiring a robust cross-channel pipeline of Financial Advisors.

Key Responsibilities:

  • Recruit experienced Financial Advisors and retain talent to drive growth
  • Lead team to grow financial outcomes through increased net asset flows, lending balances, and same-store sales
  • Develop the culture to drive employee engagement and growth in a branch or a series of branches
  • Responsible for overall management of branch(es) including management of staff; maintaining strong partnerships with all centers of excellence (COE) and support partners; managing risk/compliance; expense/P&L management; and exception management
  • Execute on strategic vision of the Wealth and Investment Management (WIM) group of Wells Fargo to help Advisors and Client Associates serve the needs of the clients within the branch
  • Responsible for collaboration with and influence of all levels of professionals, including senior managers, COE partners, home office departments, divisional leaders, etc.
  • Be a visible leader in the branches and communities they serve
  • Manage allocation of people and financial resources to ensure commitments are met and align with strategic objectives
  • Partner with the entire market leadership team to support the branches and the channels represented in the market
  • This is a non-producing role
  • 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:

  • 8+ years of Financial Advisory experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 4+ 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:

  • Ability to recruit and retain high-performing Financial Advisors
  • Ability to balance multiple initiatives
  • Ability to effectively manage a large and diverse team of direct reports
  • Proven track record of coaching and driving growth
  • Experience identifying and managing risk while adhering to governance processes
  • Ability to partner with key stakeholders to solve problems and client concerns

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 more than 50% to support the branches in the complex

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.

We Value Diversity

At Wells Fargo, we believe in diversity, equity, and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran, or any other status protected by applicable law.

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.

Candidates applying to job openings posted in US: 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability 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.

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