Wells Fargo -Wealth, Brokerage and Retirement Product Manager 3-4 Securities Based Lending St Louis, MO Strategic Solutions Manager - Independent Brokerage Group Brokerage Complex Manager in MD, NC, CT, NH Operational Risk Consultant 4, St Louis, MO

1. Wells Fargo
Wealth,
Wealth Brokerage and Retirement
Product Manager 3-4 Securities Based Lending St Louis, MO
3-
Strategic Solutions Manager - Independent Brokerage Group
Brokerage Complex Manager in MD, NC, CT, NH
Operational Risk Consultant 4, St Louis, MO
Carlos Sandoval, MBA
Vice President – Executive Diversity Recruiting
Wealth, Brokerage and Retirement Services
Wells Fargo & Co.

2. Wells Fargo
• Who Are We?
• Opportunities in St Louis, MO and Nationwide
• Contacting Us
1

3. Wells Fargo
Who Are We?
The New Wells Fargo & Company
Wells Fargo & Company has completed its acquisition of Wachovia Corporation, creating the
United States’ premier coast-to-coast diversified financial services franchise and most
extensive banking network.
Wells Fargo team members serve millions of customers across North America through 11,000
stores; 12,260 ATMs; wellsfargo.com and Wells Fargo PhoneBankSM.
We’re #1 in the U.S. in community banking p
y g presence ( ,
(6,650 stores), small business lending,
), g,
agricultural lending, commercial real estate lending, commercial real estate brokerage, bank-
owned insurance brokerage, and middle market commercial banking.
We’re #2 in banking deposits in the U.S., home mortgage originations and servicing, retail
brokerage, and debit cards.
The new Wells Fargo has:
– 276 000 team members;
276,000
– Community banks in 39 states and the District of Columbia
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4. Wells Fargo - Who Are We?
Who Are We?
The Wealth Management Group of Wells Fargo manages more than $140 billion in client
assets,
assets including more than $24 billion in deposits (excluding brokerage cash sweep) and nearly
$40 billion in loans. The group also manages more than 120,000 trust accounts.
Wealth Management Group leverages an integrated model to provide high-net-worth and
affluent clients a complete range of wealth management solutions and services including:
private banking
investment management
trust and estate services
Brokerage
insurance
These services are delivered in a team-based manner which connects the right specialists based
on a client’s financial needs.
Utilizing a full-balance sheet approach we provide client-centric, customized solutions to help
approach, client-centric
clients manage their everyday financial needs, preserve and build wealth, achieve philanthropic
goals, and establish a legacy for future generations.
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5. Wealth, Brokerage and Retirement, WBR
Wealth, B k
W l h Brokerage and R i
d Retirement -F
Facts at a Glance ( of D
Gl (as f December 31 2010)
b 31,
David Carroll Head of Wealth, Brokerage and
Retirement
Executive Summary
One of the leading wealth management, brokerage and retirement providers in the U.S.,
Jay Welker Head of Wealth Management
the group focuses on providing solutions that meet clients’ unique needs. Services include
h f idi l i h li i d i i l d Danny Ludeman Head of Wells Fargo Advisors
comprehensive planning and advice, investment management, brokerage, private banking, John Papadopulos Head of Retirement
estate planning strategies, trust, insurance and retirement. Clyde Ostler Head of Family Wealth
Brokerage
Wells Fargo Advisors operates the nation’s third-largest brokerage business with 15,188 full-service Financial Advisors in locations nationwide and
4,386 licensed b k i W ll F
4 386 li d bankers in Wells Fargo and W h i bank stores. Brokerage administers $1.2 trillion in client assets, including $235 billi in managed
d Wachovia b k t B k d i i t $1 2 t illi i li t t i l di billion i d
account assets, and has $80 billion in deposits. The group serves clients’ advisory, brokerage and financial needs, including investment management,
portfolio monitoring and estate planning.
Wealth
Wealth Management and Family Wealth administer $150 billion in client assets and $47 billion in deposits. Wealth also manages more than 117,200
trust
t t accounts. Wealth Management provides high-net-worth and affluent clients with a complete range of wealth solutions that include financial
t W lth M t id hi h t th d ffl t li t ith l t f lth l ti th t i l d fi i l
planning, private banking, credit, investment management, trust and estate services, business succession planning and charitable services along with
bank-based brokerage services through Wells Fargo Advisors.
Family Wealth
Wells Fargo Family Wealth provides family-office services to clients with at least $50 million in relationship assets and is the nation’s fifth-largest
multi-family
multi family office practices, according to the Family Wealth Alliance, LLC Teams of local professionals work with each client family to provide
practices Alliance LLC.
specialized knowledge in wealth management, trust and estate administration, asset strategy and investment management, private banking and credit
services.
Retirement
Wells Fargo is the nation’s fifth-largest IRA provider, according to Cerulli, and second-largest annuity distributor, according to the Sun Life Distributor
Survey.
Survey It has $266 billion in IRA assets Wells Fargo is the nation s sixth-largest retirement plan recordkeeper according to PLANSPONSOR
assets. nation’s recordkeeper,
Magazine. Wells Fargo administers 401(k), pension and other retirement plans for 3.5 million individuals, totaling $231 billion in assets, and is a
leading provider of retirement education. Wells Fargo also administers $285 billion in custody assets, provides executive benefits to institutional clients
and delivers reinsurance services to global insurance companies.
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6. Wells Fargo Opportunities
Product Manager 4 S
P d tM 4– Securities Based Lending . Role & Key Responsibilities:
iti B d L di R l K R ibiliti
Wells Fargo Advisors headquartered in St. Louis, MO offers a nationwide network of full-service retail brokerage offices, e-commerce and discount brokerage
services, and fully-disclosed clearing services.
The WFA Banking Services Group leads the firm's efforts to equip its Financial Advisors (“FAs”) to leverage more extensively the capabilities of Wells Fargo
Bank. The product manager for securities based lending within WFA is responsible for implementing the overall business strategy, vision and functionality of
p g g p p g gy y
the securities based lending product and platform, as well as day to day oversight of product offering to the sales force for the WFA Lending and Banking
Servicing group. The product manger will ensure that the securities based lending program adheres to all compliance regulations and policies. The position
will have multiple responsibilities, ranging from collaborating on new product features and services, to troubleshooting product defects, to presenting to field
support and Financial Advisors, to ensuring the product meets with a positive customer experience and impact. Manager will coordinate activities in the
Banking Services group to ensure end-to-end product development life cycle milestones are met.
Position ill
P iti will serve as team lead as necessary to other team members in development and coordination of business requirements, b th inside and outside
t l d t th t b i d l t d di ti fb i i t both i id d t id
Banking Services.
Specific Roles & Responsibilities:
Collaborate and assist on the development and management of new product offerings for Banking Services. Support business case development for new
p
product features with finance, treasury, legal and compliance. Assist with new p
y g p product definition documentation and coordinate release of new product
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announcements with field marketing. Coordinate integration of new product development and rollout with loan operations team leader. Develop
necessary training material for new product and feature rollout. Develop service level agreements with loan servicing, document control and collateral
monitoring Liaison with legal and compliance to ensure all offerings are consistent with firm mandates. Partner with operations personnel on the
development of business requirements . Assist with development of product pricing models and field distribution strategies .
Support product rollout to field sales and financial advisors, and stand ready to deliver presentations to field and home office management. Lead a small team
of product managers and analysts
Required Skills and Experience:
Basic: 6+ years product management or development experience
Minimum: 5+ years experience in financial services industry. 3+ years experience in Securities Based Lending. Strong product development and information
systems background. 3-5 years experience developing business requirements with a proven track record of success. Series 7 and 63 registration required or
the ability to obtain within 90 days of hire Solid understanding of bank and broker federal regulations including KYC Rule 405, AML Regulation B,
hire. 405 AML, B
Regulation O, Regulation Z and Regulations 23A and B of the Federal Reserve Act. Strong interpersonal skills with ability to influence others positively
Motivated and positive attitude Patient but forward-looking with ability to manage multiple projects and meet tight deadlines
Preferred: Experience in loan operations and collateral monitoring for securities backed lending products. Experience in broker / dealer industry strongly
preferred.
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7. Wells Fargo Opportunities
WFA Correspondent Services Strategic Solutions Manager Req. No: 3416519
Job Description
First Clearing Correspondent Services Strategic Solutions Team Manager
The Correspondent Services Strategic Solutions Manager will report to the Chief Risk and Quality Officer and will be responsible
for managing the Technology Services and Business Implementation teams of the fully disclosed clearing business of Wells Fargo
Advisors. The responsibility includes managing the group’s project management, and operations and technology services activities.
This leadership role will be responsible for managing teams who are accountable for service delivery and project management of a
broad variety of strategic initiatives and including channel growth, client service, risk management, technology and advisor tools
and services, e-brokerage tools and other offerings .
ser ices e brokerage
Key areas of responsibility include, establishing the strategic direction for the business unit with regard to the technology and
operations offerings to its broker dealer clients. Managing the business unit’s internal relationships with the Business Services
Group as relates to Operations and Technology services, and the Strategic Services Group as relates to Advisor Tools and
advancing the business units strategic direction. The Strategic Solutions Manager is also responsible for managing the teams
support activities for the Business Unit as a whole which includes all facets of the business including the Growth, Relationship
Management, Risk Management teams of the business unit.
Minimum Qualifications
The selected candidate must possess a strong business to business service background with a minimum of ten years in a senior
operations and technology services role preferably in the securities or other financial services industry. Excellent communication
industry
and presentation skills required. Strong project management skills required. Must possess a strong business service background in a
senior operations and technology services role. Ideal candidates have served business to business service roles with a focus on
leading teams delivering operation and technology tools, including work flow systems, and financial advisor tools. Candidates
should possess the ability to partner with and coordinate projects in which include stakeholders and business partners from
operations, technology, legal, compliance and administrative groups. 10 20% Travel required.
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Preferred Skills
4 year degree or MBA desired, preferably with a background in brokerage or other financial services industry with a focus on
financial advisor and other technology and processing tools.
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8. Wells Fargo Opportunities
WFA Operational Risk Consultant 4 Req. No: 345563, St Louis, MO
Job Description
This role will have responsibilities for supporting the strategic direction, effectiveness, and compliance with the operational risk
management program in WFA and serve as a partner and consultant to business and risk management partners. Responsibilities
include developing, implementing, and monitoring a risk based program to identify, assess, and mitigate operational risk that arises
from i d
f inadequate or failed internal processes, people, systems, or external events while maintaining a balance between risk
t f il d i t l l t t l t hil i t i i b l b t ik
mitigation and operational efficiency.
You will partner with key contacts and various levels of management within WFA, and other Wells Fargo groups such as WBR and
CERM.
Key responsibilities include:
- Work with the business partners to optimize processing efficiency while ensuring that operational risk requirements, policies, and
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procedures are met. - Evaluates the adequacy and effectiveness of policies, standards, procedures, processes, systems and internal
controls. - Identifies and assesses operational risk issues and assigns risk ratings consistent with established policy standards.
- Coordinate WFA risk assessment processes which could include, CRAS, RCSA, CICAT, and CRAS+.
- Consults with business partners to develop corrective action plans and effectively manage change
- Provides review of corporate policies and standards to determine impact to WFA and coordinates development of WFA standards
as needed. - Reports issues and recommendations to senior management.
- Manages and/or coordinates production of periodic Operational Risk performance reports for senior management, including trend
management
analysis and recommended strategies.
Basic and Minimum Qualifications
8+ years operational risk experience. BA/BS degree or with 5+ years Brokerage experience
- Experience or the ability to learn the Wells Fargo Operational Risk Management tools, including CRAS, CICAT, and RCSA
- Proven experience with conducting risk assessments, and assessing the adequacy of
assessments
policies, procedures, and processes. Proven ability to build strong relationships with management.
- Demonstrated skill and competency with verbal and written communications.
- Strong communication, interpersonal skills, collaboration, and the ability to present
complex ideas to management.
- Adaptable to a dynamic work environment with multiple priorities and strict timelines
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and able to organize for responsiveness and efficiency.
- Demonstrated strong analytical and problem solving skills.
- Outstanding time management and organizational skills.
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9. Wells Fargo Opportunities
Product Manager 3 -Securities Based Lending - Role & Key Responsibilities:
Wells Fargo Advisors headquartered in St. Louis, MO offers a nationwide network of full-service retail brokerage offices, e-commerce and discount brokerage
services, and fully-disclosed clearing services.
The WFA Lending and Banking Services Group leads the firm's efforts to equip its Financial Advisors (FAs) to leverage more extensively the capabilities of Wells
Fargo Bank.
g
The product manager for Securities Based Lending (SBL) within WFA is responsible for implementing the overall business strategy, vision and functionality of the
securities based lending product and platform, as well as day to day oversight of product offering to the sales force for the WFA Lending and Banking Servicing
group. The product manger will ensure that the securities based lending program adheres to all compliance regulations and policies. The position will have multiple
responsibilities, ranging from collaborating on new product features and services, to troubleshooting product defects, to presenting to field support and Financial
Advisors, to ensuring the product meets with a positive customer experience and impact. Manager will coordinate activities in the Banking Services group to ensure
end-to-end
end to end product development life cycle milestones are met.
met
Specific Roles & Responsibilities:
Collaborate and assist on the development and management of new SBL product offerings for WFA Banking Services. Support business case development for new
product features with finance, treasury, legal and compliance. Assist with new product definition documentation and coordinate release of new product
announcements with field marketing. Coordinate integration of new product development and rollout with loan operations team leader. Develop necessary training
material for new product and feature rollout Develop service level agreements with loan servicing, document control and collateral monitoring Liaison with legal and
rollout. servicing monitoring.Liaison
compliance to ensure all offerings are consistent with firm mandates. Partner with operations personnel on the development of business requirements. Assist with
development of product pricing models and field distribution strategies. Support product rollout to field sales and financial advisors, and stand ready to deliver
presentations to field and home office management. Lead a small team of product managers and analysts
Required Skills and Experience:
Basic:
B i 5+ years product management or development experience
d t t d l t i
Minimum: 3+ years experience in financial services industry. 2+ years experience in Securities Based Lending
Strong product development and information systems background. 3-5 years experience developing business requirements with a proven track record of success.
Series 7 and 63 registration required or the ability to obtain within 6 months of hire. Strong interpersonal skills with ability to influence others positively
Self-Motivated
Self Motivated and positive attitude. Patient but forward-looking with ability to manage multiple projects and meet tight deadlines
attitude forward looking
Preferred: Experience in loan operations and collateral monitoring for securities backed lending products. Experience in broker / dealer industry strongly preferred.
Large enterprise experience strongly preferred. Undergraduate degree
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10. Wells Fargo Opportunities
WFA Complex Manager, NP 3484974
Locations: Hagerstown , MD; Raleigh, NC; Farmington, CT; Hanover, NH
Job Description
Responsible for two or more PCG branch locations, including Profit Formula offices, which comprise a Complex. Is
the direct supervisor for all Branch Managers/Branch Supervisors and/or Financial Advisors in a branch satellite or
stand - alone Profit Formula office in the Complex and must possess a comprehensive understanding of firm policies
and procedures, brokerage operations principles and governing bodies’ regulatory roles and regulations. Responsible
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for recruiting, productivity and leadership, managing the profit and loss statement, developing the business plan, and
growing the Complex. May also act as the Branch Manager for the primary office in the Complex. If acting as the
Branch Manager, responsible for ensuring that all compliance and regulatory requirements are being met on a day to
day basis. Oversees the administration and operations in the primary office and handles escalated issues from other
offices in the Complex. Responsible for promoting the firm’s image within the local community.
Complex firm s community
Minimum Qualifications
Series 7, 9, 10, 63 and 65 (or 66) required, as well as any other license necessary to support branch business mix.
5+ years industry experience
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11. Wells Fargo & Co.
Contacting Us
If you would like to learn more about these roles
or other career opportunities at Wells Fargo
h ii ll
please contact:
Carlos S d l
C l Sandoval, VP
Executive Diversity Recruiter
Wells Fargo – Wealth, Brokerage and Retirement
1 East Broward Blvd,
Ft Lauderdale
Office No: (954) 762.9226
Carlos.h.sandoval@wellsfargo.com
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