Branch Complex Director leading branch operations and teams of Financial Advisors at Wells Fargo Advisors. Focusing on organic growth and staff management in Florham Park, NJ and surrounding areas.
About the role
- Examination Director overseeing examiner activities for capital markets firms. Ensuring strategic objectives are met while guiding team towards compliance and operational excellence.
Responsibilities
- Directs examination activities to achieve strategic initiatives for the department and serves as a primary point of contact for internal stakeholders for examination activities
- Manages a team of examiners and empowers them to make decisions relating to the completion of exams
- Builds and integrates the culture of intelligence, integrity, collaboration, and initiative into team goals and decisions
- Provides guidance to staff, management, and external parties on high-level issues
Requirements
- Bachelor's Degree or an equivalent combination of education and experience required
- Major in Accounting, Finance, Economics, Business Administration or related fields preferred
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
- Significant securities, compliance or financial regulatory experience
- Significant experience managing projects and/or people
- Advanced knowledge of FINRA's risk fundamentals
- Advanced knowledge of securities rules and regulations
- Advanced knowledge of industry-wide events and trends affecting FINRA's exam program
Benefits
- Health insurance
- 401(k) matching
- Paid time off
- Tuition reimbursement
- Wellness programs
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Generous time-off program with 15 days of paid time off, 5 personal days, and 9 sick days
- Military leave, jury duty leave, bereavement leave, and other paid leave options
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