Brokerage Support Associate Manager

Wells Fargo & Company•Bellevue, WA

4d•$92,000 - $145,000

About The Position

About this role: Wells Fargo is seeking a Brokerage Support Associate Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com. In this role, you will: Supervise a team of Client Associates 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 with the Market Support Manager, 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 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 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 Client Relationship Group (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

Requirements

2+ 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
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. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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.
This position is not eligible for Visa sponsorship.
Abilit to travel up to 20%.

Nice To Haves

1+ years of leadership experience including managing, coaching and training
Knowledge and understanding of Brokerage Industry, products, and operational procedures
Knowledge and understanding of Wells Fargo Advisors 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

Supervise a team of Client Associates 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 with the Market Support Manager, 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
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
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 Client Relationship Group (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