Private Client Hedging & Monetization Sales

About this role:

Wells Fargo is seeking a Senior Lead Securities Sales Specialist to join our Private Client Hedging and Monetization group.  The Private Client Hedging and Monetization group provides equity risk management strategies for high-net-worth clients and related entities. The team structures bespoke strategies for investors with concentrated single stock positions, allowing them to hedge their exposure or extract liquidity in a tax efficient manner. Though the group sits on the Wells Fargo Securities side of the firm, candidates should expect regular interaction with Wells Fargo Advisors and the Private Bank.  We help our clients achieve their unique wealth management goals through the use of over-the-counter equity options so familiarity with equity derivative products is important. The ability to distill complex topics into digestible language is critical as the team regularly provides education to financial advisors and clients. As an Analyst/Associate on the team, outreach to Wells Fargo Advisors is key responsibility. We initiate and foster relationships with financial advisors through branch calls/visits and targeted communications with advisors that manage concentrated single stock positions. Given that these products are unique and custom, candidates will also spend time managing clients through various lifecycle events such as dividends, corporate actions, expirations, and settlements. Attention to detail and clear communication is critical.

In this role, you will:

• Interact with internal and external clients
• Participate in or provide support for complex initiatives within Securities Sales to meet the clients objectives
• Review issues, policies or procedures for which answers can be quickly obtained, related to low-to-medium risk tasks and deliverables
• Receive direction from a manager
• Exercise independent judgment around function, policies, procedures, compliance, and risk management requirements for the Securities Sales area
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals

Required Qualifications:

• 7+ years of Securities Sales experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• A BS/BA degree or higher in business administration, economics, finance, or related field

• Intermediate Microsoft Office skills (Outlook, PowerPoint, Excel, Word)
• Strong technical and analytical skills including financial analysis
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Solid problem solving and decision-making skills
• Familiarity with equity derivatives
• Operational Experience with derivatives and confirmations

Job Expectations:

• Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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.

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.