Senior Retail Equities Trader

About this role:

Wells Fargo is seeking a Senior Retail Equities Trader within Wealth and Investment Management.  Learn more about our career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• Develop an in-depth understanding of internal order entry platforms, order routing systems, execution venues, and other sources of equity and ETF order flow
• Execute equity and ETF orders from financial advisors, internal/external money managers, and self-directed retail clients
• Manage client orders efficiently, ensuring best execution and compliance with regulatory requirements
• Support financial advisors and internal client service teams with market insights, trading strategies, and execution solutions
• Contribute to the development of desk policies and procedures and ensure consistent understanding across trading desk personnel
• Review and analyze trading-related technology issues and other potential risk events, including communication and escalation to trading desk leadership
• Utilize data analytics to drive system enhancements and efficiencies
• Collaborate and consult with trading desk colleagues, trading desk managers, and other internal partners

Required Qualifications:

• 4+ years of Retail Equities Trading experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully completed FINRA Series 7, Series 63, and Series 57 exams (or FINRA recognized equivalents) to qualify for immediate registration

Desired Qualifications:

• Extensive equity trading experience, some options trading preferred
• In-depth understanding of trading desk operations, order management platforms, market data systems, and U.S. equity markets
• Knowledge of current regulatory and market structure changes and proposals
• Experience collaborating with financial advisors or other investment professionals
• Strong analytical skills with attention to detail, accuracy, and multi-tasking abilities
• Ability to work in a fast-paced, deadline driven environment
• Bachelor's degree, preferably in business

Job Expectations:

• This position is not eligible for Visa sponsorship.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.  In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards.  Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit  Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.