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Wealth Advisor (SAFE) 2

Company: Wells Fargo
Location: Pasadena
Posted on: May 17, 2019

Job Description:

Job DescriptionAt 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.

Wealth Management (WM) business is a leading provider of financial services to high-net worth clients through Wells Fargo Private Bank, and to the affluent segment through partnerships between Wealth Brokerage Services and Consumer Banking. In Wealth Management, clients are provided with a complete range of solutions to help them manage, preserve and transfer their wealth.

Responsible for identifying prospective clients with investable assets of at least $3MM or more and bringing them to The Private Bank (TPB) within Wells Fargo Wealth Management (WM). Manages the relationships of high net worth (HNW) and ultra-high net worth (UHNW) clients of The Private Bank in coordination with Private Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth Planners, Insurance Specialists and other professionals across Wells Fargo. Accountable for prospect identification, client acquisition and for tailoring the delivery of products, services and resources to clients based on their needs. Serves as relationship manager, informal leader of internal teams for WM. Leads our Tactical Sales Process and Client Discovery Review to gather information about prospects and clients, future plans, goals, and objectives. Engages practice experts in various WM lines of business to deliver products and services across the full breadth of WM offerings and experts across Wells Fargo for client benefit. Prepares and delivers presentations, and relationship reviews to clients. Partners during client relationship reviews with Financial Advisors, who present investment updates. Refers business to the appropriate partner within or outside of WM. Establishes relationships with centers of influence within the HNW/UHNW space. Ensures all appropriate measures are taken to mitigate risk. This SAFE position has customer contact and job duties which may include the offering/negotiating of terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the S.A.F.E. Mortgage Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below.

Team members 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 units risk appetite and all risk and compliance program requirements.Required Qualifications


  • 5+ years of financial services product and service recommendation experience

    Desired Qualifications

    • Existing book of business cultivated through personal business development efforts
    • Relationship management experience
    • 5+ years of experience with high net worth and ultra high net worth client portfolios across a broad array of wealth management products and services
    • Experience teaming with specialists from different disciplines to meet the complex financial needs of clients
    • Commercial credit experience
    • Well-developed centers of influence network
    • Extensive knowledge of the local market
    • Master of Business Administration, CERTIFIED FINANCIAL PLANNER (tm) practitioner, Chartered Financial Analyst, Certified Public Accountant or Juris Doctorate

      Job Expectations

      • Series 7 and 66, or equivalent, plus Life and Health Insurance licenses must be completed within 210 days of start date, if not held at the time of hire
      • 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 requires SAFE registration at the time of employment. Wells Fargo will initiate the SAFE registration process immediately after your employment start date. The Nationwide Mortgage Licensing System (NMLS) web site (http://fedregistry.nationwidelicensingsystem.org ) provides the MU4R questions and registration required for employment in this position.
      • 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.
      • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
      • Ability to travel up to 20% of the time

        DisclaimerAll 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.

Keywords: Wells Fargo, Pasadena , Wealth Advisor (SAFE) 2, Other , Pasadena, California

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