Wells FargoWealth, Brokerage and RetirementProduct Manager 3-4 Securities Based Lending St Louis, MO

Strategic Solutions Manager - Independent Brokerage Group

Brokerage Complex Manager in MD, NC

Operational Risk Consultant 4, St Louis, MO

Divisional Supervisory Manager (3), St Louis, MO

First Clearing Correspondent Services- Sales Representative

Carlos Sandoval, MBA

Vice President – Executive Diversity Recruiting

Wealth, Brokerage and Retirement Services

Wells Fargo & Co.

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Wells Fargo

• Who Are We?

• Opportunities in St Louis, MO and Nationwide

• Contacting Us

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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 presence (6,650 stores), small business lending,

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;

– Community banks in 39 states and the District of Columbia

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Wells Fargo - Who Are We?

Who Are We? The Wealth Management Group of Wells Fargo manages more than $140 billion in client

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 clients manage their everyday financial needs, preserve and build wealth, achieve philanthropic goals, and establish a legacy for future generations.

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Wealth, Brokerage and Retirement, WBR

Executive Summary

One of the leading wealth management, brokerage and retirement providers in the U.S.,

the group focuses on providing solutions that meet clients’ unique needs. Services include

comprehensive planning and advice, investment management, brokerage, private banking,

estate planning strategies, trust, insurance and retirement.

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 bankers in Wells Fargo and Wachovia bank stores. Brokerage administers $1.2 trillion in client assets, including $235 billion in managed

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 accounts. Wealth Management provides high-net-worth and affluent clients with a complete range of wealth solutions that include financial

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 office practices, according to the Family Wealth Alliance, LLC. Teams of local professionals work with each client family to provide

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. It has $266 billion in IRA assets. Wells Fargo is the nation’s sixth-largest retirement plan recordkeeper, according to PLANSPONSOR

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.

Wealth, Brokerage and Retirement - Facts at a Glance (as of December 31, 2010)

David Carroll Head of Wealth, Brokerage and

Retirement

Jay Welker Head of Wealth Management

Danny Ludeman Head of Wells Fargo Advisors

John Papadopulos Head of Retirement

Clyde Ostler Head of Family Wealth

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Wells Fargo OpportunitiesProduct Manager 4– 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 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

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 will serve as team lead as necessary to other team members in development and coordination of business requirements, both inside and outside

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

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 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,

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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Wells Fargo OpportunitiesWFA 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 .

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

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.

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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Wells Fargo OpportunitiesWFA 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 inadequate or failed internal processes, people, systems, or external events while maintaining a balance between risk 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 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 trendanalysis 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

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

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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Wells Fargo OpportunitiesProduct 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.

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 product development life cycle milestones are 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

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: 5+ years product management or development experience

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 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.

Large enterprise experience strongly preferred. Undergraduate degree

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Wells Fargo OpportunitiesWFA 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

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.

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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Wells Fargo OpportunitiesDivisional Supervisory Manager (3)

RESPONSIBILITIES:

This position reports to the Director of Branch Network of Wells Fargo Advisors Financial Network (WFAFN) and is

responsible for providing oversight and leadership to the WFAFN Supervisory team within their respective territories.

The Divisional Supervisory Manager (DSM) will provide input to compliance on the enhancement of certain

Supervisory processes and participate as a WFAFN representative in appropriate workgroups. Together with the

Business Process Director, the DSM will identify sales supervision process improvement opportunities and manage

the implementation of those new processes. The DSM will serve as the point person for escalated supervisory issues

within their WFAFN divisions. The DSM supports on- going monitoring of branch conformity with internal policies

and procedures. The DSM will ensure that Supervisory teams are properly designed and staffed and will be

responsible for assigning appropriate Regional Supervisor/ Branch coverage. The DSM completes other duties/special

projects as assigned by the Director of The Branch Network and will work closely with the issues raised by the

Business Process Director as it relates to providing meaningful and effective branch oversight. The DSM will be a

member of the WFAFN Operating Committee.

Minimum Qualifications

To be qualified, one must meet the following minimum requirements: 10 plus years of experience in supervisory,

compliance, branch office compliance in the retail brokerage business. Two plus years of demonstrated and recent

experience directly leading teams of professionals. Ability to create an environment where team members are engaged

and empowered to exceed business owner/financial advisor expectations. Series, 7, 63, 65, 24 (or 9/10); Ability to

obtain Series 3 and insurance license 6 months of employment. Strong organizational, documentation, and follow up

skills. Ability to manage multiple projects, meet deadlines and work independently. Excellent written and verbal

communication skills.

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Wells Fargo OpportunitiesFirst Clearing Correspondent Services - Sales Representative - 3466963

Job Description First Clearing Correspondent Services (FCCS) provides a broad range of services to 115 broker dealer

clients (client firms) that represent $110Bn in client assets and over 8500 Financial Advisors. Our investment and

lending products, research services, investment planning capabilities, and FA workstation are key differentiators

for FCCS in the highly competitive clearing space.

As the First Clearing Correspondent Services (FCCS) Sales Representative you will have the primary

responsibility for expanding the market share within the business by effectively executing a variety of marketing

and sales activities. Develops and maintains full understanding of the products, services, and technology and

effectively communicates to prospective clients. Attends and participates in industry and business unit

conferences; develops and maintains prospect management database system; negotiates contracts with

prospective clients; interfaces with conversion group to ensure smooth transition to relationship team. Basic

Qualifications 8+ years of sales or marketing experience within the brokerage industry Minimum Qualifications

Proven ability to communicate with and sell to senior executives; advanced knowledge and understanding of

products and services; excellent time management skills; excellent communication and presentation skills A

minimum of 8 plus years of sales and sales management experience within the retail brokerage or financial

service industry, preferably within a fully disclosed clearing firm

Excellent sales skills as well as the ability to execute sales strategies

Demonstrated ability to communicate with senior executives, business owners, or firm principals of broker

dealers

Excellent interpersonal and telephone skills

Ability to travel 60 - 80% of the time including overnights and weekends.

Goal and results oriented. Must be very service oriented. Strong understanding of the retail and independent

brokerage business

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Wells Fargo OpportunitiesPosition Specification: Market Growth and Development Consultant 4 – 3488013 Job Location: St. Louis, MO

Reports to: SVP, Director of Practice Management

Job Description

Wells Fargo Advisors is the nation's third-largest brokerage business with approximately 15,000 full-service financial advisors in about 5,500 locations nationwide and in Latin

America and approximately 6,000 licensed bankers in retail Wells Fargo and Wachovia stores. The brokerage company administers $1.0 Trillion in client assets, and serves clients'

advisory, brokerage and financial needs, including investment management, portfolio monitoring and estate planning.

The WFA Practice Management Team is part of the Advisor Growth Strategies Group. Charged with driving increased productivity by transforming advisor behaviors, this team

provides consulting services directly to financial advisors to enable them to implement a set of proven practice management, business development and marketing strategies. The

Practice Management Team develops and delivers a variety of interactive programs, including one-on-one and group consulting, workshops and virtual learning.

We are looking for a top tier player to join a lean and high-impact team. This position is designed for a high performing and proven individual. The successful candidate will assist

in the development of business unit strategic objectives and serve as a thought and execution leader within the Practice Management team. This role will require the ability to

consult with financial advisors as well as present to a wide range of audience sizes.

Specifically, we are looking for candidates who demonstrate the following competencies:

BUSINESS SAVVY: candidates who have been exposed to different business models; who have worked in or with strong process-oriented organizations; who have a broad

business background

STRATEGIC THINKER: candidates who have a strong analytical mindset; who have strategy and business development experience, and who demonstrate the ability to apply

critical thinking skills to solve complex business challenges

HIGH IMPACT POTENTIAL: candidates who have the drive and bandwidth to contribute at senior levels; who are very comfortable and confident collaborating with

management and presenting to a variety of audiences

Responsibilities

The associate will work closely with Practice Management team members and various business units to perform strategic analysis, leverage available research, and support the

delivery of the consulting programs. The team member will help develop recommendations for leadership and communicate these through effective oral and written presentations.

Responsibilities include but are not limited to:

Assist in the coordination of the strategic and operational planning processes of Practice Management

Provide project management for various business unit initiatives. Conduct work-stream analysis to identify trends for input into strategy formulation and execution of the next

generation of programs such as DELTA, Gateway and Velocity. Create or assist in the creation of presentations for use by Practice Management. Work directly with financial

advisors, which may include one-on-one, group consulting and presentations to drive implementation of the proven strategies. Support ad-hoc requests, ranging from internal

information dissemination to participation in cross-company projects and initiatives. Other various duties as prescribed.

Minimum Qualifications Candidates must have:

Minimum of 5 years of brokerage experience or experience in a consulting environment. Demonstrated relationship management and problem-solving abilities, ability to

build relationships across the organization and use influencing skills to accomplish the team’s goals. Superior project management skills and teamwork orientation. Ability

to drive conceptual practice management solutions, convert them to analytic and quantitative output, and generate actionable execution plans. Demonstrated aptitude for

working directly with leadership creating, analyzing, communicating and executing on specific organizational strategies. Expert proficiency in Excel, PowerPoint, and

Word, with at least 2 years direct experience building presentations and synthesizing complex concepts into easy to follow stories. Strong commitment to excellence

Preferred Qualifications

Meaningful experience interacting with financial advisors through a coaching, consulting or presentation role . 3 years relevant experience in Retail Brokerage/Wealth

Management. An MBA or other relevant graduate degree is highly preferred

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Wells Fargo & Co.

Contacting UsIf you would like to learn more about these roles

or other career opportunities at Wells Fargo

please contact:

Carlos 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