Brokerage Support Manager

Brokerage Support Manager In Wealth And Investment Management

Wells Fargo is seeking a Brokerage Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors.

In this role you will:

• Lead a centralized team which provides operational support and manages the review and approval process for requests coming from the front-office
• Oversee quality assurance for all operational approval requests
• Develop a tracking tool to enable metric-based performance reporting
• Serve as primary escalation point of contact for operational and service inquiries/escalations from Market and Branch Support Managers and the back office
• Have responsibility for brokerage client support functions
• Monitor and enforce firm operational policy and procedures and ensure adherence to these policies and procedures
• Serves as the key contact for operational risk management issues across the centralized support team and manage service standards to ensure timely and accurate delivery of operations support
• Recruit, hire, train, coach and manage all Central Support Associates

Required Qualifications:

• 4+ years of Financial Services operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 2+ years of leadership experience
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• FINRA registration including Series 65 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multi tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Leadership skills

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
• This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
• Specific compliance policies may apply regarding outside activities and/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.

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 CFR 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.

This position is not eligible for Visa sponsorship.