Branch Support Manager

Wells Fargo & Company•Boston, MA

2d•$77,000 - $145,000•Onsite

About The Position

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance. You will identify opportunities for process improvement and risk control development in less complex functional areas. You will make day-to-day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations. You will leverage interpretation of policies, procedures, and compliance requirements, and collaborate and consult with peers, colleagues, and mid-level managers, as well as interact directly with external customers. You will manage the allocation of people and financial resources for Brokerage Support and mentor and guide the talent development of direct reports and assist in hiring talent.

Requirements

4+ years of Securities industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
1+ years of leadership experience
US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

1+ year of leadership experience including managing, coaching and training
Knowledge and understanding of Brokerage Industry, products, and operational procedures
Excellent verbal, written, and interpersonal communication skills in both team settings and in-person to support the Market
Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
Client service centric for our internal and external customers
Strong attention to detail and accuracy
Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment
Series 9/10 licensing

Responsibilities

Supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance
Identify opportunities for process improvement and risk control development in less complex functional areas
Make day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations
Leverage interpretation of policies, procedures, and compliance requirements
Collaborate and consult with peers, colleagues, and mid-level managers as well as interact directly with external customers
Manage allocation of people and financial resources for Brokerage Support
Mentor and guide talent development of direct reports and assist in hiring talent
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
FINRA Series 9/10 and 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.
Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire.
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 desires 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.
This position is subject to FINRA background screening requirements.
Candidates must successfully complete and pass a background check prior to hire.
In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
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 not eligible for Visa sponsorship.
Ability to travel up to 20% of the time.