Job Application Keywords

Creates a risk management culture that includes compliance with all regulations and policies and ensures a proactive, accountable focus of reducing risk and losses.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

The company's products and services include advanced trade execution management systems and trading algorithms.

of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow across a global institution B.A./B.S./MBA or JD preferred The Institutional

of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal and external stakeholders

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

Qualifications 10+ years compliance and/or operational risk experience and 7+ management experience Minimum Qualifications Ability to manage and organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Exceptional presentation skills and demonstrated ability to interact with executive leadership and client executives.

collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Strong knowledge level in the areas of fiduciary management and executive compensation programs.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

This leader will ensure the effective development & execution of RM strategies while collaborating with peer group leaders in Product, Investments, Sales and Participant Services.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

The RM must deliver One Wells Fargo , a holistic approach within both the firm and the client.

Exceptional presentation skills and demonstrated ability to interact with executive leadership and client executives.

This leader will ensure the effective development & execution of RM strategies while collaborating with peer group leaders in Product, Investments, Sales and Participant Services.

-Ensures that customer needs are met appropriately with suitable products and that all sales practices meet regulatory guidelines and company policies.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

The client focus will be on domestic and international Banks, Asset Managers , and Macro Hedge Funds.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Minimum Qualifications Ability to manage and organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly

multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication

This person will also be responsible for enhancing our electronic trading platforms and marketing this capability to clients.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing

include, but are not limited to: Managing a team of risk management professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Return to Job Search Criteria|Sign Out Printable Format Job Description STIS Priv Financial Advisor 1 - Raleigh, NC-233803 Description Provide investment advice on a wide range of investment products.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication

Relocation is also provided.

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

The Relationship Manager is responsible for developing and maintaining strong customer relationships for a book of business that includes large and complex non qualified executive benefits trusts, non qualified plan participant recordkeeping and investment management services and communications for executive compensation plans.

motivating a winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including

Minimum Qualifications Demonstrated experience interacting effectively with internal and external clients and service providers.

Basic Qualifications 10+ years compliance and/or operational risk experience and 7+ management experience Minimum Qualifications Ability to manage and organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build

Preferred location is San Francisco.

to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal

experience and 7+ management experience Minimum Qualifications Ability to manage and organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within

This candidate will also work with other Desks on the platform to quickly and accurately disseminate market -relevant information.

Preferred location is San Francisco.

to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal and external stakeholders on regulatory matters Establishing and maintaining

Must demonstrate outstanding presentation skills with preferably, recent experience presenting as part of a sales presentation process preferred.

Ability to manage and organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Outstanding presentation and consultative sales skills.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

This leader will ensure the effective development & execution of RM strategies while collaborating with peer group leaders in Product, Investments, Sales and Participant Services.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

- Ensure customer satisfaction and client retention through designing and implementing a relationship plan for each client and systematically following through on the plan.

SunGard Brokerage & Securities Services, LLC is an agency broker dealer that specializes in innovative electronic execution solutions for institutional traders and customers and is an award-winning firm in US equity algorithm development and electronic trading of U.S.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong

Must have or be willing to obtain and maintain a securities and life insurance license (Series 6 or 7 and 63).

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Preferred Skills A degree from a four year accredited college or university is a requirement .

This position will help identify prospects within and outside of Wells Fargo and ensure they are assigned to sales staff.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Must be a highly organized individual with knowledge of essential systems, policy, procedures, and investment products and services including financial planning, asset allocation techniques, estate planning, and risk management.

This position must interact effectively with senior and executive officers of client corporations as well as with strategic business partners.

The focus products are Interest Rate Swaps and Options, Treasuries, and Agencies.

Coordinates documentation, operations transition, client orientation and communication plans for new accounts.

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Under industry regulations, an AP is defined as a team member who solicits or accepts client orders for swaps.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

RM must work closely with all internal partners to understand each respective area s strengths and value propositions and represent those differentiated capabilities to external clients.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Our firm works on some of the most innovative and performance intensive trading technology and analytics today.

Completion of a four year collegiate undergraduate degree.

winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated

Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow across a global institution B.A./B.S./MBA or JD preferred The Institutional Retirement

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Basic Requirements: 8 years of related retail broker/dealer experience with an emphasis in compliance.

Creates a risk management culture that includes compliance with all regulations and policies and ensures a proactive, accountable focus of reducing risk and losses.

The Relationship Manager is responsible for developing and maintaining strong customer relationships for a book of business that includes large and complex non qualified executive benefits trusts, non qualified plan participant recordkeeping and investment management services and communications for executive compensation plans.

Rates Sales role with a focus on development of a client facing franchise and generation of consistent trading activity.

Preferred location is San Francisco.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

This position is part of the Corporation and Public Entity Sales team which focuses on the fixed income needs of corporations and public entities across the U.S.

The RM must also represent selected institutional asset management client's particular needs and interests within the overall Wells Fargo organization and share objective assessments of future business opportunities internally.

Function will report to Head of Institutional Investor Management, Americas Preferred Skills An undergraduate degree from an accredited institution and an MBA and/or CFA preferred.

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

Accountable for discretionary account transactions.

This person will also be responsible for enhancing our electronic trading platforms and marketing this capability to clients.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

Exceptional presentation skills and demonstrated ability to interact with executive leadership and client executives.

5+ year s recent and relevant experience with the servicing and administration of qualified and non qualified plans and/or other institutional retirement trust accounts.

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Connecting senior management of Wells Fargo to client leadership is essential to broadening the overall relationship.

The RM must also represent selected institutional asset management client's particular needs and interests within the overall Wells Fargo organization and share objective assessments of future business opportunities internally.

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

- Ensure customer satisfaction and client retention through designing and implementing a relationship plan for each client and systematically following through on the plan.

Excellent written and verbal communication skills.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Outstanding presentation skills.

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal and external

Understanding of life insurance policies and mutual fund investments.

professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

- Define and prepare documents outlining customer requirements, fee levels, and other needed information.

Position Description: SunGard is a leading provider of execution and network solutions that help both buy- and sell-side firms improve execution quality, minimize information leakage, decrease overall execution costs and address today’s trade connectivity challenges.

Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial

Must be proficient on PC; excellent communication skills.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Basic Qualifications 12+ years prior management experience leading relationship management or sales functions within the financial services industry.

This position will provide primary client contact, proactive communication and consultation for the effective delivery of Executive Benefits products and services.

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

Partner with finance in the planning and managing of budgets with primary accountability for revenue retention, growth and expense oversight.

Requires maintaining a high level of industry knowledge and ongoing professional interaction with industry and market leaders.

The Relationship Manager is responsible for developing and maintaining strong customer relationships for a book of business that includes large and complex non qualified executive benefits trusts, non qualified plan participant recordkeeping and investment management services and communications for executive compensation plans.

Exceptional presentation skills and demonstrated ability to interact with executive leadership and client executives.

Possess experience with interpreting legal documents related to benefits plans.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow across a global institution B.A./B.S./MBA or JD preferred The Institutional Retirement & Trust (IRT) Head of Relationship Management is a newly created

Completion of a four year collegiate undergraduate degree.

Partner with the IRT Head of Sales to develop market segment specific strategies to significantly increase sales and market share while collaborating with product management to develop products that respond to rapidly evolving market conditions and client needs.

Responsible for the overall relationship development of selected institutional asset management clients across all asset classes and product areas in coordination with all internal coverage and leadership teams.

Products to include, but limited to fixed income, mutual fund, equities, insurance and annuity products.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership

at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated compliance issues, developing and managing risk strategies and processes, and incorporating

Partner with finance in the planning and managing of budgets with primary accountability for revenue retention, growth and expense oversight.

Proficiency in mentoring and motivating a winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

Responsible for developing and maintaining strong relationships for the largest, most complex accounts, involving premier-level customers, consultants and industry and market leaders (predominantly A and Signature level accounts).

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

organize voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Must have or be willing to obtain and maintain a securities and life insurance license (Series 6 or 7 and 63).

Minimum Qualifications Minimum of 10+ years of institutional capital markets experience in sales, trading, portfolio management or investment banking with a minimum of 5 years of institutional relationship management coverage experience with large multi-sector asset managers.

- Responsible for ensuring the effective delivery of all administrative and operational services.

Understanding of life insurance policies and mutual fund investments.

He or she will produce commentary on a regular basis that focuses on market opportunities for clients and internal partners.

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Requires a high level of cross sale results and / or new business leads by leveraging industry contacts and product knowledge.

quarterly, and monthly revenue streams • Provide quarterly results assessments of sales productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

position include, but are not limited to: Managing a team of risk management professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions

Return to Job Search Criteria|Sign Out Printable Format Job Description STIS Priv Financial Advisor 1 - Raleigh, NC-233803 Description Provide investment advice on a wide range of investment products.

Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators

The Relationship Manager is responsible for developing and maintaining strong customer relationships for a book of business that includes large and complex non qualified executive benefits trusts, non qualified plan participant recordkeeping and investment management services and communications for executive compensation plans.

Our firm works on some of the most innovative and performance intensive trading technology and analytics today.

This position is part of the Corporation and Public Entity Sales team which focuses on the fixed income needs of corporations and public entities across the U.S.

Experience in administering employee benefit plans.

This position must interact effectively with senior and executive officers of client corporations as well as with strategic business partners.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

-Provides training, coaching, and development to sales representatives and other sales staff, including observing sales presentations and providing constructive feedback.

Must be a highly organized individual with knowledge of essential systems, policy, procedures, and investment products and services including financial planning, asset allocation techniques, estate planning, and risk management.

This leader will ensure the effective development & execution of RM strategies while collaborating with peer group leaders in Product, Investments, Sales and Participant Services.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

voluminous data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply

Under industry regulations, an AP is defined as a team member who solicits or accepts client orders for swaps.

The client focus will be on domestic and international Banks, Asset Managers , and Macro Hedge Funds.

The client focus will be on domestic and international Banks, Asset Managers , and Macro Hedge Funds.

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Completion of a four year collegiate undergraduate degree.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

- Ensure customer satisfaction and client retention through designing and implementing a relationship plan for each client and systematically following through on the plan.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Graduate degree and/or professional designations a plus (CPA, CFA, CRSP, MBA, etc).

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce

RM must develop the overall relationship with institutional clients to create economic value for Wells Fargo by generating new investment ideas and capital raising opportunities through product capabilities and cross-platform collaboration.

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

This person will also be responsible for enhancing our electronic trading platforms and marketing this capability to clients.

This candidate will also work with other Desks on the platform to quickly and accurately disseminate market -relevant information.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Minimum Qualifications Candidate will have more than seven years of relevant experience as a US Rates Salesperson at a Tier 1 commercial or investment bank.

5+ year s relevant relationship management experience to include interacting effectively with internal and external clients, service providers and C-suite level professionals.

Consults clients and prospective clients with focus on analyzing goals, objectives and risk tolerance, to determine which investment products and services best meet the clients needs and then sell those products and services as appropriate.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow across a global

Responsible for the overall relationship development of selected institutional asset management clients across all asset classes and product areas in coordination with all internal coverage and leadership teams.

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

Advanced skills in Microsoft Office, PowerPoint, Word, Excel, and/or Outlook.

This person will also be responsible for enhancing our electronic trading platforms and marketing this capability to clients.

lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols

Partner with the IRT Head of Sales to develop market segment specific strategies to significantly increase sales and market share while collaborating with product management to develop products that respond to rapidly evolving market conditions and client needs.

Return to Job Search Criteria|Sign Out Printable Format Job Description STIS Priv Financial Advisor 1 - Raleigh, NC-233803 Description Provide investment advice on a wide range of investment products.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

• Maintain a deep understanding of equity algorithms, market structures, and trading characteristics in order to provide advisory services to clients.

-Adheres to Wells Fargo program policies regarding corrective action.

The Relationship Manager is responsible for developing and maintaining strong customer relationships for a book of business that includes large and complex non qualified executive benefits trusts, non qualified plan participant recordkeeping and investment management services and communications for executive compensation plans.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Responsibilities: - Must proactively support new account sales and meet high individual sales goals for existing customers.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization

Must have or be willing to obtain and maintain a securities and life insurance license (Series 6 or 7 and 63).

Responsible for developing and maintaining strong relationships for the largest, most complex accounts, involving premier-level customers, consultants and industry and market leaders (predominantly A and Signature level accounts).

Consults clients and prospective clients with focus on analyzing goals, objectives and risk tolerance, to determine which investment products and services best meet the clients needs and then sell those products and services as appropriate.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Considered the most seasoned of relationship managers, with highest potential for revenue growth.

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

-Provides training, coaching, and development to sales representatives and other sales staff, including observing sales presentations and providing constructive feedback.

-Prospecting is a critical component of our success.

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

The Firm is seeking a dynamic, experienced sales professional.

This position is subject to Dodd-Frank Background Screening Requirements, including successful completion and clearing of a background screen.

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

RM must develop the overall relationship with institutional clients to create economic value for Wells Fargo by generating new investment ideas and capital raising opportunities through product capabilities and cross-platform collaboration.

Rates Sales role with a focus on development of a client facing franchise and generation of consistent trading activity.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

-Maintains adequate staffing levels to meet production goals by recruiting and maintaining an active pipeline of qualified candidates.

developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal and external stakeholders on regulatory matters Establishing

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Responsibilities: - Must proactively support new account sales and meet high individual sales goals for existing customers.

Candidate must have extensive relationships with institutional clients in Rates products.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

Excellent written and verbal communication skills.

Series 7, 24, 53, 4, 65/66 Life/Health, and Variable Insurance Licensing required.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory agency staff

and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow across a global institution B.A./B.S./MBA or JD preferred The Institutional Retirement & Trust

Experience in administering employee benefit plans.

Basic Qualifications 7+ years capital markets industry experience.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

Position Description: SunGard is a leading provider of execution and network solutions that help both buy- and sell-side firms improve execution quality, minimize information leakage, decrease overall execution costs and address today’s trade connectivity challenges.

Consults clients and prospective clients with focus on analyzing goals, objectives and risk tolerance, to determine which investment products and services best meet the clients needs and then sell those products and services as appropriate.

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

Preferred Skills Candidate must successfully demonstrate broad knowledge and solid understanding of executive benefits products and services.

VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated compliance issues, developing and managing risk strategies and processes, and incorporating the Federal Reserve Bank's fiduciary risk classifications

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

This position manages several Group Supervisory Specialist Team Leaders.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Minimum Qualifications Minimum of 10+ years of institutional capital markets experience in sales, trading, portfolio management or investment banking with a minimum of 5 years of institutional relationship management coverage experience with large multi-sector asset managers.

Possess experience with interpreting legal documents related to benefits plans.

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Preferred Skills Candidate must successfully demonstrate broad knowledge and solid understanding of executive benefits products and services.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding

Graduate degree and/or professional designations a plus (CPA, CFA, CRSP, MBA, etc).

• Willingness to travel.

collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant individual matters Developing enterprise-wide communication protocols for internal and external stakeholders on regulatory matters Establishing and maintaining a forum

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Demonstrated track record for being able to create and drive growth.

Responsible for regular communications with the core coverage team on selected client opportunities.

discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Knowledge, Skills and Experience: • Strong ethical standards demonstrated through honesty and integrity in dealings with customers.

This candidate must be willing to travel to visit issuing and investing clients.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Position Summary • Develop and manage equity algorithmic and ETF trading relationships with buy-side investors and traders (large institutions, pension funds, hedge funds, registered investment advisors, etc.) as well as sell-side agency trading firms.

Rates Sales role with a focus on development of a client facing franchise and generation of consistent trading activity.

Connecting senior management of Wells Fargo to client leadership is essential to broadening the overall relationship.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

(including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues

forecast annual, quarterly, and monthly revenue streams • Provide quarterly results assessments of sales productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

This leader will ensure the effective development & execution of RM strategies while collaborating with peer group leaders in Product, Investments, Sales and Participant Services.

-Conducts interviews to identify candidates with key attributes for success in securities sales.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

Creates a risk management culture that includes compliance with all regulations and policies and ensures a proactive, accountable focus of reducing risk and losses.

winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Partner with finance in the planning and managing of budgets with primary accountability for revenue retention, growth and expense oversight.

limited to: Managing a team of risk management professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Understanding of life insurance policies and mutual fund investments.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Responsible for developing and maintaining strong relationships for the largest, most complex accounts, involving premier-level customers, consultants and industry and market leaders (predominantly A and Signature level accounts).

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives • Manage responses to RFIs and RFPs • Continue account management for the life of each account after the sale to ensure long-term

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

- Prepare and deliver plan review presentations often at client location.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Return to Job Search Criteria|Sign Out Printable Format Job Description STIS Priv Financial Advisor 1 - Raleigh, NC-233803 Description Provide investment advice on a wide range of investment products.

Accountable for discretionary account transactions.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

comprehensive, winning sales strategies consistent with company objectives • Accurately forecast annual, quarterly, and monthly revenue streams • Provide quarterly results assessments of sales productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

RM must work closely with all internal partners to understand each respective area s strengths and value propositions and represent those differentiated capabilities to external clients.

Coordinates documentation, operations transition, client orientation and communication plans for new accounts.

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

Graduate degree and/or professional designations a plus (CPA, CFA, CRSP, MBA, etc).

Basic Requirements: 8 years of related retail broker/dealer experience with an emphasis in compliance.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Responsible for developing and maintaining strong relationships for the largest, most complex accounts, involving premier-level customers, consultants and industry and market leaders (predominantly A and Signature level accounts).

Partner with the IRT Head of Sales to develop market segment specific strategies to significantly increase sales and market share while collaborating with product management to develop products that respond to rapidly evolving market conditions and client needs.

to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects/work flow

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Regulatory Risk Management is the corporate compliance function that safeguards Wells Fargo by ensuring that all businesses abide by applicable rules, laws and regulation, meet compliance responsibilities and manage regulatory risks.

Advanced skills in Microsoft Office, PowerPoint, Word, Excel, and/or Outlook.

He or she must have a track record of production and references from former employers.

Must be a highly organized individual with knowledge of essential systems, policy, procedures, and investment products and services including financial planning, asset allocation techniques, estate planning, and risk management.

operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong

Demonstrated understanding of many fixed income products, including mortgage-backed securities, asset-backed securities, corporate debt, municipal debt, and short term fixed income products.

SunGard Brokerage & Securities Services, LLC is an agency broker dealer that specializes in innovative electronic execution solutions for institutional traders and customers and is an award-winning firm in US equity algorithm development and electronic trading of U.S.

This position will be responsible for managing a Southeast region with offices in Charlotte, Atlanta, Richmond, and Miami.

Knowledge, Skills and Experience: • Strong ethical standards demonstrated through honesty and integrity in dealings with customers.

Job: Wealth & Investment Management Primary Location: VA-Richmond Other Locations: VA-Richmond-SunTrust Securities Schedule: Full-time Careers Marlon Weems, you are signed in.|My

This position is subject to Dodd-Frank Background Screening Requirements, including successful completion and clearing of a background screen.

He or she will produce commentary on a regular basis that focuses on market opportunities for clients and internal partners.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

• Contribute to marketing communications, research and commentary.

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The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Demonstrated understanding of many fixed income products, including mortgage-backed securities, asset-backed securities, corporate debt, municipal debt, and short term fixed income products.

Minimum Qualifications Candidate will have more than seven years of relevant experience as a US Rates Salesperson at a Tier 1 commercial or investment bank.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

The location of this position is open for discussion with a strong preference for New York City or Charlotte.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Demonstrated understanding of many fixed income products, including mortgage-backed securities, asset-backed securities, corporate debt, municipal debt, and short term fixed income products.

This will require constant communication ( both verbal and written) with clients and frequent client travel.

achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written

Position Summary • Develop and manage equity algorithmic and ETF trading relationships with buy-side investors and traders (large institutions, pension funds, hedge funds, registered investment advisors, etc.) as well as sell-side agency trading firms.

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

data requests Ability to discern risk and mobilize team members to collaborate on risk mitigation strategies Ability to lead and maintain an effective team Ability to operate in a complex and matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills

Knowledge, Skills and Experience: • Strong ethical standards demonstrated through honesty and integrity in dealings with customers.

Connecting senior management of Wells Fargo to client leadership is essential to broadening the overall relationship.

-Maintains required licensing and continuing education requirements.

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

RM must work closely with all internal partners to understand each respective area s strengths and value propositions and represent those differentiated capabilities to external clients.

He or she must have a track record of production and references from former employers.

-Maintains adequate staffing levels to meet production goals by recruiting and maintaining an active pipeline of qualified candidates.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

Rates Sales role with a focus on development of a client facing franchise and generation of consistent trading activity.

This position is subject to Dodd-Frank Background Screening Requirements, including successful completion and clearing of a background screen.

Solid understanding of product and services.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

Extensive knowledge of portfolio management techniques, equity trading, margin, equity, and option trading.

Must have a very thorough knowledge of broker/dealer industry rules, regulations and operations.

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

Dedicated, enthusiastic, driven and performance-oriented; possesses a strong work ethic and results orientation.

Additionally, be able to cold call new relationships and convince them to meet with us.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated

- Define and prepare documents outlining customer requirements, fee levels, and other needed information.

limited to: Managing a team of risk management professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

Working knowledge of IRS Section 409(A) and other pertinent regulations.

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

- Ensure customer satisfaction and client retention through designing and implementing a relationship plan for each client and systematically following through on the plan.

• Have existing institutional relationships that care about trading performance that you can introduce our world class performance to.

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Demonstrated understanding of many fixed income products, including mortgage-backed securities, asset-backed securities, corporate debt, municipal debt, and short term fixed income products.

Our clients include both buy side and sell side global firms active in equities, options, futures and F/X. The firm fosters an exciting and challenging work-environment with emphasis on continuous learning and innovation.

up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes

- Maintain an active calling pattern for each client served.

Expert on the broad product and services.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

• Maintain a deep understanding of the competitive landscape in the algorithmic trading market.

Position Summary • Develop and manage equity algorithmic and ETF trading relationships with buy-side investors and traders (large institutions, pension funds, hedge funds, registered investment advisors, etc.) as well as sell-side agency trading firms.

Work closely with participant education team to ensure best in class sponsor strategy/product approaches and participant education/advice delivery.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Responsibilities: - Must proactively support new account sales and meet high individual sales goals for existing customers.

RM must work closely with all internal partners to understand each respective area s strengths and value propositions and represent those differentiated capabilities to external clients.

He or she must have a track record of production and references from former employers.

Responsible for developing and maintaining strong relationships for the largest, most complex accounts, involving premier-level customers, consultants and industry and market leaders (predominantly A and Signature level accounts).

Ability to multi-task and complete complex sales practice related analysis is also required.

Creates a risk management culture that includes compliance with all regulations and policies and ensures a proactive, accountable focus of reducing risk and losses.

He or she will produce commentary on a regular basis that focuses on market opportunities for clients and internal partners.

The ideal candidate will execute on cross-sell strategies focused on increasing client satisfaction and revenue within IRT and across Wealth Brokerage & Retirement (WBR) and the Wells Fargo will be critical for the success of this role.

Preferred Skills: MBA or other advanced degree Compensation: Compensation will be attractive, competitive, commensurate with experience, and will include a base salary, cash incentive compensation and an equity component.

Advanced skills in Microsoft Office, PowerPoint, Word, Excel, and/or Outlook.

Basic Qualifications 12+ years prior management experience leading relationship management or sales functions within the financial services industry.

Consults clients and prospective clients with focus on analyzing goals, objectives and risk tolerance, to determine which investment products and services best meet the clients needs and then sell those products and services as appropriate.

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

Creating synergies with operations and client service teams to identify, prioritize, and promote process improvement and implementation.

Considered the most seasoned of relationship managers, with highest potential for revenue growth.

Successful candidate is to assume U.S.

-Ensures that customer needs are met appropriately with suitable products and that all sales practices meet regulatory guidelines and company policies.

Must be a highly organized individual with knowledge of essential systems, policy, procedures, and investment products and services including financial planning, asset allocation techniques, estate planning, and risk management.

5+ year s recent and relevant experience with the servicing and administration of qualified and non qualified plans and/or other institutional retirement trust accounts.

Preferred Skills Candidate must successfully demonstrate broad knowledge and solid understanding of executive benefits products and services.

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

SunGard’s global suite of brokerage solutions include high performance equity algorithms, soft-dollar and execution-only equity trading, sell side sponsored access, securities and funds trade routing, and a cash management solution for short-term investors.

The individual must have a history of working with global Trading businesses.

-Ensures that customer needs are met appropriately with suitable products and that all sales practices meet regulatory guidelines and company policies.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives •

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The RM must also represent selected institutional asset management client's particular needs and interests within the overall Wells Fargo organization and share objective assessments of future business opportunities internally.

-Provides training, coaching, and development to sales representatives and other sales staff, including observing sales presentations and providing constructive feedback.

SunGard’s global suite of brokerage solutions include high performance equity algorithms, soft-dollar and execution-only equity trading, sell side sponsored access, securities and funds trade routing, and a cash management solution for short-term investors.

as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing management reports that provide a view across regulators on themes and issues for the organization, as well as significant

Other Wells Fargo locations can be considered.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give presentations on technical software to CIOs and VPs • Produce professional-quality email and other written communication with key executives • Manage responses to RFIs and RFPs • Continue account management for the life of each account after the sale to ensure long-term customer satisfaction • Sell through a partner channel

• Maintain a deep understanding of equity algorithms, market structures, and trading characteristics in order to provide advisory services to clients.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated compliance issues, developing and managing risk strategies and processes, and incorporating the Federal Reserve

Also, responsible for the continued counsel and advice for accounts with existing clients.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Demonstrated ability to lead in a fast-paced and high pressure, results-oriented environment within a collaborative team based setting.

• Maintain a deep understanding of equity algorithms, market structures, and trading characteristics in order to provide advisory services to clients.

Partner with finance in the planning and managing of budgets with primary accountability for revenue retention, growth and expense oversight.

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

Partner with finance in the planning and managing of budgets with primary accountability for revenue retention, growth and expense oversight.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

He or she will produce commentary on a regular basis that focuses on market opportunities for clients and internal partners.

-Provides training, coaching, and development to sales representatives and other sales staff, including observing sales presentations and providing constructive feedback.

of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

RM must work closely with all internal partners to understand each respective area s strengths and value propositions and represent those differentiated capabilities to external clients.

The location of this position is open for discussion with a strong preference for New York City or Charlotte.

Other Wells Fargo locations can be considered.

This position is subject to Dodd-Frank Background Screening Requirements, including successful completion and clearing of a background screen.

The focus products are Interest Rate Swaps and Options, Treasuries, and Agencies.

Other responsibilities to include: Collaborating with internal partner groups to increase customer awareness, ensure positive client experience and the development of shared goals when applicable Drive initiatives to improve client loyalty and satisfaction scores and client retention and active involvement in re-bid sales retention strategies.

Documented success in assembling teams and executing strategic initiatives through matrix and/or shared resources.

Minimum Qualifications Candidate will have more than seven years of relevant experience as a US Rates Salesperson at a Tier 1 commercial or investment bank.

- Prepare and deliver plan review presentations often at client location.

annual, quarterly, and monthly revenue streams • Provide quarterly results assessments of sales productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and

Rates Sales role with a focus on development of a client facing franchise and generation of consistent trading activity.

The client focus will be on domestic and international Banks, Asset Managers , and Macro Hedge Funds.

Creates a risk management culture that includes compliance with all regulations and policies and ensures a proactive, accountable focus of reducing risk and losses.

• The ideal candidate will also have a passion for markets and strong communication skills.

- Responsible for customer fee collection.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

• Contribute to marketing communications, research and commentary.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Must have or be willing to obtain and maintain a securities and life insurance license (Series 6 or 7 and 63).

-Conducts interviews to identify candidates with key attributes for success in securities sales.

duties for this position include, but are not limited to: Managing a team of risk management professionals to ensure enterprise-wide coordination on examination matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

This will require constant communication ( both verbal and written) with clients and frequent client travel.

Knowledge, Skills and Experience: • Strong ethical standards demonstrated through honesty and integrity in dealings with customers.

In addition, she/he will coordinate with product, marketing and communication teams to develop public relations plans that result in positioning IRT as a thought leader and create high product / service awareness.

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

The client focus will be on domestic and international Banks, Asset Managers , and Macro Hedge Funds.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Frequent travel to clients, client presentations and client conferences are required.

Equities and Exchange Traded Funds (ETFs).

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

This candidate will work closely with Trading to develop strategies to gain market share and increase flows.

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

Possess experience with interpreting legal documents related to benefits plans.

Demonstrated ability to lead in a fast-paced and high pressure, results-oriented environment within a collaborative team based setting.

Must be a highly organized individual with knowledge of essential systems, policy, procedures, and investment products and services including financial planning, asset allocation techniques, estate planning, and risk management.

quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous regulatory, compliance or regulatory coordination experience in financial services Understanding of regulatory requirements applicable to financial institutions Experience with overseeing projects

RM must develop the overall relationship with institutional clients to create economic value for Wells Fargo by generating new investment ideas and capital raising opportunities through product capabilities and cross-platform collaboration.

The company's products and services include advanced trade execution management systems and trading algorithms.

-Acts as primary Securities Principal for sales force.

Return to Job Search Criteria|Sign Out Printable Format Job Description STIS Priv Financial Advisor 1 - Raleigh, NC-233803 Description Provide investment advice on a wide range of investment products.

Director of Regulatory Coordination is responsible for (a) examination coordination (i.e., serving as the initial point of entry and overall coordinator of regulatory contacts for particular examination); (b) examination management (i.e., gathering of specific information requested in examination); (c) coordinating and managing information requests of regulatory agencies outside the regular examination process; and (d) the development and maintenance of working relationships with regulatory

matters Interfacing and overall management of regulatory relationships in coordination with lines of business Overseeing examination processes and compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

matrixed environment Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills

Under industry regulations, an AP is defined as a team member who solicits or accepts client orders for swaps.

compiling responses in coordination with lines of business Setting up meetings (including suggestions who to meet with as appropriate) Prepping team members and coordinating across multiple lines of businesses to ensure consistency of message Monitoring examination developments Working collaboratively with examination coordinators across multiple lines of business to respond to examination reports Tracking and closing out any examination findings/remediation actions Preparing

Job: Wealth & Investment Management Primary Location: VA-Richmond Other Locations: VA-Richmond-SunTrust Securities Schedule: Full-time Careers Marlon Weems, you are signed in.|My

Very strong written and verbal communication skills, excellent public speaking skills and highly effective decision-making and judgment capabilities.

-Intimate understanding of the asset management industry, critical functions and services they are most interested in -Proven track record of client development and retention -Strong leadership skills and ability to build internal team member support and consensus -Navigate complicated organizations and marshal required resources -Strong communication, marketing, negotiation and credit skills Candidate must provide an extensive list of references from institutional buy side accounts.

Very strong written and verbal communication skills, excellent public speaking skills and highly effective decision-making and judgment capabilities.

winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned branches and Offices of Supervisory Jurisdiction OSJs including elevated

This position will partner with other fixed income sales managers on identifying and implementing strategies for growth Preferred Skills FINRA Registrations: Series 7, 63, 24, 53 Management experience Tethys Technology is seeking a motivated, hands-on Sales Manager with a strong background in marketing/selling services to the investment management, hedge fund and banking community.

Direct sales experience, within a financial services environment, preferred.

streams • Provide quarterly results assessments of sales productivity • Work alongside sales team to achieve company sales goals • Develop and present formal solution proposals • Assist in defining company strategic objectives • Train, mentor and grow the sales team • Proactively identify target prospects, establish contact with these prospects, and walk them through the sales cycle • Meet quota and other targeted metrics • Manage relationships with VPs and C-level executives • Give

Ability to multi-task and meet deadlines, despite competing priorities Ability to build effective partnerships with multiple stakeholders at all levels within the organization Ability to respond quickly to changing job demands Ability to apply organizational skills in a wide variety of areas Detailed and task oriented Strong written and oral communication skills Strong presentation skills Strong interpersonal skills Strong leadership skills Preferred Skills Previous

Applicants are subject to a new screen to comply with Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act which states that Associated Persons (AP) cannot be subject to statutory disqualification.

-Acts as primary Securities Principal for sales force.

5+ year s recent and relevant experience with the servicing and administration of qualified and non qualified plans and/or other institutional retirement trust accounts.

- Keep abreast of current industry trends, regulations, and pertinent information for effective client management and proactive consultation Anticipated travel 20 - 30%.

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

Position Description: SunGard is a leading provider of execution and network solutions that help both buy- and sell-side firms improve execution quality, minimize information leakage, decrease overall execution costs and address today’s trade connectivity challenges.

RM must develop the overall relationship with institutional clients to create economic value for Wells Fargo by generating new investment ideas and capital raising opportunities through product capabilities and cross-platform collaboration.

-Conducts interviews to identify candidates with key attributes for success in securities sales.

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

department of sales professionals • Proficiency in mentoring and motivating a winning sales force • Existing network of contacts for IT executives and data center operators at financial companies •Strong history of managing VP- and CIO-level relationships • Ability to work well in an environment of rapidly changing technology and active business growth • Must have excellent communication, interpersonal, and administrative skillsDescription Oversees the overall supervisory functions of assigned

Demonstrated track record for being able to create and drive growth.

Develop RM training programs focused on creating strong presentation skills and product/service positioning strategies to senior company officials and committees.

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Under industry regulations, an AP is defined as a team member who solicits or accepts client orders for swaps.

Preferred Skills A degree from a four year accredited college or university is a requirement .

- Provide specific consulting around various complex products (deferred compensation, SERPs, stock plans, change of control protective devices, etc.)

Regulatory Risk Management serves as a second line of defense by providing independent oversight and coordination of business-based regulatory risk management activities by working in conjunction with the lines of business to help ensure proper execution of regulatory requirements as well as the risk of failure to comply with operational processes that result in regulatory or reputational risks.

• As sales efforts are supported by senior members of sales and trading, the ideal candidate must work well in a team sales environment.

Preferred Skills A degree from a four year accredited college or university is a requirement .

Ability to multi-task and complete complex sales practice related analysis is also required.

-Adheres to Wells Fargo program policies regarding corrective action.

Demonstrated ability to lead in a fast-paced and high pressure, results-oriented environment within a collaborative team based setting.