WFA Regional Supervisor 1 - Middle Office Services Group Qualified Principal

Wells Fargo – Glen Allen, VA

Job Description

At Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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.

Wells Fargo Advisors (WFA) Middle Office Services Group (MOSG) provides oversight of internal control policies, monetary risk and approval of account related transactions such as money movement requests (Wires, ACHs, Journals, etc.) and account address updates. The Middle Office Services Group currently supports transactions in the Private Client Group (PCG), Wealth Brokerage Services (WBS), FiNet, Wells Trade (WT) and Wells Fargo Advisor Solutions (WFAS). The Middle Office Services Groups primary clients are the members of the Sales Field. Service Requests and phone calls come directly from the Financial Advisors and Client Associates. In addition, MOSG team members speak directly with clients to perform Wire and P.O. Box callback verifications.

WFA Regional Supervisor 1 Middle Office Services Group Qualified Principal: The WFA Regional Supervisor 1 supports the channels with ongoing monitoring of conformity with internal policies, applicable laws, and regulations. The Middle Office Services Group provides support to lines of business that support clients that communicate, both verbally and written, in Spanish. Client account approvals include Wire Funds review and approval; various asset movement approvals; PO Box account update approvals; Letter of Authorizations approvals; ACH/Banklink approvals; in addition to placing outbound calls to clients to confirm transactions.

Additional Responsibilities:

  • Assist with facilitating money movement in a fast paced environment by processing service requests.
  • Assist internal and external clients by providing excellent customer service.
  • Provide support to management.
  • Conduct certain client account approvals.
  • Assist in helping meet department service level agreements.
  • Assist with oversight of risk/fraud management and takes on special projects as assigned by the manager.
  • Please note: Middle Office Services Group is open from 8:00am to 6:00pm CST in St. Louis, MO. The selected candidate may be required to support additional hours outside of normal business hours as volume dictates.

    Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities.

    IMPORTANT INFORMATION:

  • After submitting your application, please monitor your e-mail for future communications
  • Once your application is received, Wells Fargo will make initial contact with you via e-mail
  • Please ensure your contact information (e-mail address and phone number) is current in your Wells Fargo Jobs Profile
  • If your contact information has changed, please update prior to applying to this position
  • Based on the volume of applications received, this job posting may close prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo
  • Due to a high volume of inquiries, please do not contact the hiring manager listed. Any inquiries sent to the hiring manager listed may not receive a response
  • Wells Fargo will not sponsor visas for these positions and will not hire individuals whose work eligibility is due to their F-1 or other student visa status such as Optional Practical Training (OPT). Candidates must have authorization to work in the United States on a permanent basis


  • Required Qualifications

  • 1+ year of financial services industry experience
  • 6+ months of experience in branch office compliance, sales supervision, or a combination of both
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
  • Bilingual speaking and reading proficiency in Spanish/English

  • Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills
  • Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Ability to identify and assess issues then make sound decisions
  • Knowledge and understanding of risk management
  • Strong attention to detail and accuracy skills
  • Bilingual speaking, reading, and writing proficiency in Portuguese/English

  • Other Desired Qualifications
  • Ability to work as part of a team, collaborate with others to meet service level agreements and complete daily goals
  • 3+ years brokerage experience related to front office or back office operations
  • 1+ year experience reviewing, processing, or approving asset movement requests such as journals, ACHs, DTCs, partial ACATS, and wires
  • Knowledge of Service Request workflow and/or completing tasks from a queue


  • Job Expectations

  • 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.
  • 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 9/10 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • Ability to travel up to 5% of the time
  • Must take and pass required Spanish language assessment

  • 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

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