Capital Introduction VP - Securities Lead

Job Description:

Vice President, Capital Introduction, Equity Finance  

Wells Fargo Equity Finance sits within the Equities Division of the Corporate & Investment Bank of Wells Fargo (CIB). Wells Fargo Equity Finance is the Prime Brokerage business unit that that offers financing, trading, operational, risk management, capital introduction and technology solutions to service the complex needs of the alternative investment management business.

We are seeking a Vice President level professional to work in an entrepreneurial environment and assist with building out existing hedge fund and investor relationships. The primary focus will be to cover client relationships and expand the firm’s hedge fund investor network in the tri-state area and regionally. The individual will be a senior member of the Capital Introduction team and work closely with the sales team to generate new business. This will include:

General responsibilities and considerations include:

• Assist hedge fund clients with their capital raising initiatives by creating customized marketing plans
• Leading and assisting with sales pitches and presentations to managers and investors related to the Firm’s capital introduction, prime brokerage and trading businesses
• Supporting Capital Introduction’s expansion of a hedge fund investor network
• Communicating with hedge fund investors from the family office, high-net-worth, fund-of-funds and institutional market segments to understand their portfolios and investment mandates
• Must have an entrepreneurial spirit to assist the firm in building its book of clients through networking, cold calling, prospecting, referrals, seminars etc.
• A “Partner” like work ethic that is manifested in a day-in, day-out working relationship with the existing sales, capital introduction, business consulting and client service teams
• An appreciation for and comfort with public appearances (i.e. conference attendance, industry panel participation, etc.) in representing and creating market and brand awareness for Wells Fargo Equity Finance

In this role, you will:

• Lead complex initiatives to sell securities to clients
• Conduct trades with broad impact, and act as key participant in developing, implementing, and monitoring risk based programs to recommend settlements and unique remediation solutions
• Review and analyze complex business, operational, or technical challenges that require in-depth evaluation of the clients needs
• Make decisions for providing proactive communication and consultation requiring a sound understanding of client support to meet deliverables and drive new initiatives
• Collaborate and consult with peers, colleagues, and mid-level to more experienced managers to resolve issues and achieve goals
• Lead projects, teams, or serve as a peer mentor

Required Qualifications:

• 5 years of Securities Sales experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Experience in Securities Sales, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• 5 years of experience with an investment firm; preferably prime broker, hedge fund or allocator. Preferably in a role that is related to Prime brokerage and interacts with investors.
• Established investor relationships and be able to provide references, upon request, from the investor community to confirm existing relationships.
• Have an understanding of hedge fund strategies; equity hedge, event driven, global macro, relative value and underlying strategy derivatives.
• Have a familiarity with hedge fund industry marketing resources, from databases, to industry events and publications
• Ability to travel to assist with the build out of regional relationships across North America.
• Excellent written and verbal communication skills, including the ability to effectively target messages to different audiences
• Self-directed, highly motivated, and ability to work independently
• Superior verbal and written communication skills in the English language
• Professional business acumen

Job Expectations:

• Up to 20% travel
• Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series SIE & 7 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• The position will be located in New York reporting directly to the co-head of Capital Introduction.
• Base pay range for this position in New York is 200,000.00 - 200,000.00 USD
• May be considered for a discretionary bonus, Restricted Share Rights or other long-term incentive awards

Required licences:

• Series SIE, 7 & 63

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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.