Registration Manager

Mô tả công việc

The Well Fargo Advisors (WFA) Registration Group maintains and processes securities registrations for the Firm in accordance with SRO rules, including agent registrations (Form U4), agent terminations (Form U5),  branch office registrations (Form BR) and corporate entity registrations (Forms BD and ADV).  Registration submits disclosure reporting pages (DRPs), responds to state letters requesting additional agent information, and submits registration-related filings to the National Futures Association.  The team also assists with the annual registration renewal process, tracks the regulatory element of continuing education, processes agent and branch mortgage licensing applications and processes state investment advisory registrations.We are seeking a Registration Manager to oversee Registration functions for the three Broker Dealers associated with Wells Fargo Advisors.  This position reports to the Director of Registration and Employee Activities.  Responsibilities include the development and execution of a robust registration compliance program supporting all business lines in Wealth Brokerage and Retirement.Key Responsibilities Manage a large staff of compliance registration professionals that support approximately 29,000 registered team membersOversee accurate registration filings with all Federal and State regulators including the SEC, FINRA, State Securities Departments, State Mortgage Licensing Departments, and the National Futures AssociationResponsible for establishing relationships with key partners, both internal and external, to further the awareness and effectiveness of registration requirementsAnalyze existing processes and procedures to develop improvements for increased efficiency and complianceAssess structure of the Registration Department to determine effectiveness and make changes as neededIdentify existing and emerging registration key risks and develop a plan to address and mitigate these risksInterpret and understand existing registration rules and regulations to make final decisions for Registration DepartmentAbility to effectively manage multiple projects and assignments while ensuring alignment with shifting prioritiesStrategic thinking and thought leadership to assess needs of the Registration Department, Financial Advisors, and WFALocation: St. Louis, MO.