Counsel, AVP - WIM Financial Advisor Recruiting

Login or Register Home Daily Jobs Post A Job Employers Create A Company Post A Free Job Post A Featured Job Search Resumes Job Seekers Dashboard Create A Resume Pricing Counsel, AVP - WIM Financial Advisor Recruiting An American Multinational Financial Services Company 44 minutes ago Saint Louis, MO 2+ Years Full Time R-546970 100,000 - 196,000 / Yearly Not Specified Share on Apply now Closing Date: 25th May, 2026 Description: About this role: Wells Fargo is seeking a Counsel, Assistant Vice President to join the legal team supporting its Wealth and Investment Management (WIM) division. The individual selected will be responsible for: (i) providing advice and guidance on financial advisor (FA) recruiting matters, (ii) analyzing and advising on legal questions concerning the Protocol for Broker Recruiting, (iii) advising on FINRA Form U5s, and (iv) supporting evolving WIM and Legal Department priorities. In this role, you will: Serve as a WIM Legal Division subject matter expert on financial advisor recruiting, which will entail engagement with business leaders and compliance and registration stakeholders. Advise on FA recruiting matters, including advising how to mitigate the risk of raiding claims, appropriately handle client information during FA transitions, and interpreting and advising on information contained in FINRA Form U5s. Analyze and advise on questions arising under the Protocol for Broker Recruiting. Interpret and advise on FA employment agreements, independent contractor agreements, succession agreements, team agreements, and promissory notes. Support evolving WIM business and Legal department initiatives. Collaborate closely with lawyers across the WIM Legal Division as well as members of the Compliance and Risk teams. Required Qualifications: 2+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Active State Bar membership or the equivalent in a country outside the United States Desired Qualifications: Experience advising on: FA recruiting matters; mitigating the risk of raiding claims; the handling of client information during FA transitions; and Reg S-P and privacy considerations that arise during FA transitions. Experience analyzing and advising on questions arising under the Protocol for Broker Recruiting. Experience interpreting and advising on FA employment agreements, independent contractor agreements, succession agreements, team agreements, and FA promissory notes. Experience documenting and operationalizing legal department procedures related to FA recruiting. Industry knowledge regarding financial advisor recruiting practices, trends, and industry developments concerning recruiting FAs who are affiliated with broker-dealers, credit unions, banks, and independent contractor firms. Prior experience at a broker-dealer or law firm advising on financial advisor recruiting, raiding considerations, and handling of client data during financial advisor transitions. Experience reviewing and interpreting information on a FINRA Form U5 and advising on FINRA Form U5. Demonstrated ability to work in a fast paced environment, respond timely to multiple, time-sensitive client inquiries, and support changing business and legal department priorities. Job Expectations: This position is not eligible for Visa sponsorship Relocation assistance is not available for this position. Ability to work at one of the job posting locations listed Ability to work a hybrid schedule, in office at least 3 days a week This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents Pay Range Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities. $100,000.00 - $196,000.00 Similar Jobs Real Estate Associate Counsel McBride Homes Chesterfield, MO Full Time Legal EEO Counsel Wells Fargo Saint Louis, MO Full Time Senior Associate Counsel Clayco St. Louis, MO Full Time Assistant Vice President, Senior Counsel - Liti... Focus Financial Partners Saint Louis, MO Full Time Associate Compliance Counsel- Americas Nidec Motor Corporation Saint Louis, MO Full Time About Us Attorney Jobs in USA heartily welcomes you. We provide attorney jobs, in house counsel jobs and law student jobs around the USA from leading resources. We are always welcome your feedback to improve our performance. Please feel free to contact us with your suggestions or concern using Contact Us form. 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