Internal Alternative Investment Consultant

Wells Fargo & Company • Charlotte, NC

5d • Onsite

About The Position

Wells Fargo is seeking an Internal Alternative Investment Consultant (Senior Business Growth Strategy Consultant) in the Wealth and Investment Management (WIM) National Sales organization. The role educates and consults with WIM Investment Professionals, including Financial Advisors and Investment Strategists, about the Alternative Investment solutions available to high-net-worth and ultra-high-net-worth clients. It serves as a subject matter expert for the Alternative Investments platform and operates in a consultative internal desk environment, with responsibility for specific regions as well as support for inbound calls from all regions.

The consultant may serve as the Alternative Investment expert on client conference calls with Investment Professionals, resolve client or Investment Professional issues in partnership with Regional Alternative Investment Consultants and the AI Middle Office Support Team, and lead or partner on project teams. The role is responsible for adherence to compliance regulations and policies in both the Alternative Investments product area and the Business Growth Strategy functional area.

The position requires five days in the office and occasional travel of up to 5%. FINRA licensing and ongoing regulatory requirements apply. The position is not eligible for visa sponsorship.

Requirements

• 4 or more years of Business Growth Strategy experience, or equivalent demonstrated through work experience, training, military experience, or education.
• Successfully completed the FINRA Series 7 examination to qualify for immediate registration, or a FINRA-recognized equivalent.
• FINRA Series 63 and Series 65 (or Series 66 / FINRA-recognized equivalents) examinations must be completed within 90 or 180 days after employment begins if the licenses are not immediately available to transfer, depending on the number of licenses needed.
• Compliance with state law registration and licensing requirements is mandatory; specific product licenses or SAFE licensing may also apply.
• Must meet enhanced financial fitness and criminal background standards and pass the required background check before hire.
• Must comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• May be required to obtain and/or maintain appropriate FINRA licenses for ongoing employment.
• For specific FINRA qualification exams obtained after September 30, 2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
• The position is not eligible for visa sponsorship.

Nice To Haves

• 3 or more years of financial services experience related to alternative investment products or other investment products.
• Experience with Alternative Investment solutions and platforms.
• Experience building relationships and communicating effectively with business partners across a matrixed organization.
• Experience advising Financial Advisors on recommended investment products.
• Initiative demonstrated by meeting deadlines and leading by example in a fast-paced and changing environment.
• Driven, confident, organized, and an accomplished problem solver.
• Effective relationship management skills.
• Strong verbal, written, and interpersonal communication skills.
• Knowledge and understanding of contact management systems, such as Salesforce.
• FINRA registration including Series 63 and Series 65 (or Series 66 / FINRA-recognized equivalents).
• Certified Financial Planner (CFP) or Chartered Alternative Investment Analyst (CAIA).
• Microsoft Office skills, including Word, Excel, and Outlook.

Responsibilities

• Educate and consult with WIM Investment Professionals, including Financial Advisors and Investment Strategists, on Alternative Investment solutions for high-net-worth and ultra-high-net-worth clients.
• Serve as a subject matter expert with strong investment acumen for components of the Alternative Investments platform.
• Work in a consultative internal desk environment, covering specific regions and supporting inbound calls to the consulting desk from all regions.
• Serve as the Alternative Investment expert for Investment Professionals during client conference calls.
• Resolve client or Investment Professional issues in partnership with Regional Alternative Investment Consultants and the AI Middle Office Support Team.
• Ensure adherence to compliance regulations and policies within the Alternative Investments product area and the Business Growth Strategy functional area.
• Lead and partner on project teams.
• Follow applicable risk programs and Wells Fargo policies and procedures, fulfill risk and compliance obligations, and escalate and remediate issues appropriately.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed