Branch Support Manager

Wells Fargo & Company • New Orleans, LA

1d • Onsite

About The Position

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. This role serves as the initial point of contact for operational, service, and technology inquiries from Financial Advisors, branches, and other Support Center associates. The manager acts as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates regarding operations, compliance, and technology. They collaborate with the Brokerage Support Manager and other support team members, as projects require, ensuring consistent and efficient execution of the firm's operational and compliance policies and procedures. The position is responsible for executing various approvals for the Support team, including supervisory review and approval of operational transaction requests such as asset movement, account maintenance, order errors, document approvals, and remediation projects. The role also involves onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets, and supporting firm goals to drive adoption of key CRG ease of doing business initiatives. The manager will ensure Client Associates are trained in these initiatives and will visit branches across the Market to oversee operational/support practices and coach on operational risk. Wells Fargo & Company is a leading financial services company with approximately $2.1 trillion in assets, providing banking, investment, and mortgage products and services across various operating segments.

Requirements

• 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience
• 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 (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 a 90-day time period if not immediately available to transfer upon hire
• Compliance with state law registration and licensing requirements is mandatory
• Meeting enhanced financial fitness and criminal background standards
• Successfully complete and pass a background check prior to hire
• Meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
• Abide by applicable policy requirements regarding outside activities and/or personal investing
• 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

Nice To Haves

• Familiarity with Support Center model
• Knowledge and understanding of branch exams and regulatory requirements from an operational support perspective
• 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

Responsibilities

• Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates
• Act as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates in various aspects of operations, compliance, and technology
• Collaborate with the Brokerage Support Manager and other support team members, as projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures
• Be responsible for execution of various approvals for the Support team including supervisory review and approval of operational transaction requests such as asset movement, account maintenance, order errors, document approvals and various remediation projects
• Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets
• Support firm goals to drive adoption around key CRG ease of doing business initiatives across the market
• Ensure Client Associates are trained in key CRG ease of doing business initiatives
• Visit branches across the Market to oversee operational/support practices and coach on operational risk

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees