About this role:Wells Fargo is seeking a Financial Network (FiNet) Governance Manager to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). Learn more about career areas and lines of business at wellsfargojobs.com.
In this role you will:- Responsible for managing a team of Qualified Supervisors (QS) providing supervisory oversight of Wells Fargo Advisors Financial Network (WFAFN) practices.
- Ensure that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements.
- Understand the complexity, partnership needs and customer service requirements that come with managing this process and Qualified Supervisors.
- Work with the business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk.
- Act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices.
- Partner with areas of Compliance, Legal, Risk and the Line of Business as needed in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors, Wells Fargo Advisors Financial Network (WFAFN) and associated Brokerage locations.
- Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Regions and any findings are reported for review, escalation, if necessary, and final resolution
- Act as a liaison contact for FiNet escalations, inquiries, and initiatives
Required Qualifications:- 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 2+ years of leadership experience
- US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:- Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
- Ability to exercise independent judgment to identify and resolve problems
- Ability to interact with all levels of employees and management across the organization and Independent Offices
- Excellent verbal, written, and interpersonal communication skills
- Negotiating, conflict-management, and decision making skills
- Ability to take initiative, work independently, identify opportunities, and implement change
- Ability to lead projects/initiatives with high risk and complexity Ability to manage multiple and competing priorities
- 4+ years of financial services industry experience
- Experience in branch office supervision, compliance, broker-dealer governance, sales supervision
- Experience supporting independent Advisors and their practices.
- Ability to provide leadership to a financial services team
Job Expectations:- US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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 may also be required
- This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
- Ability to travel up to 25% of the time
- This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
- Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
- This position is not eligible for Visa sponsorship.
Job Locations: - 2801 Market St - St. Louis, Missouri
- 1525 W WT Harris Blvd - Charlotte, North Carolina
- 550 S Tryon St. - Charlotte, North Carolina
- 5201 W Amelia Earhart Dr - Salt Lake City, Utah 84116
- 8601 N Scottsdale Rd - Scottsdale, Arizona
- 550 S 4th St - Minneapolis, Minnesota 55415
- Preferred location(s) listed above. Select locations within the Wells Fargo footprint may be considered for current WF employees.
Pay Range: $100,000.00 - $196,000.00
Actual salary is determined by location, experience and qualifications of the job
Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.
$100,000.00 - $179,000.00
Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Posting End Date:23 Feb 2026
* Job posting may come down early due to volume of applicants. We Value Equal OpportunityWells 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells 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.
