Senior Retail Equities Trader

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About the role

Wells Fargo is seeking a Senior Retail Equities Trader within Wealth and Investment Management.

Responsibilities

• 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

Requirements

• 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

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
• 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