Brokerage Support Associate Manager

Wells Fargo Bank•Raleigh, NC

11d

About The Position

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 Advance organizational performance by increasing digital onboarding and money‑movement adoption while reducing operational support issues and documentation errors Lead market readiness for new digital tool through proactive oversight and strategic rollout support 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 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

Nice To Haves

1+ year of leadership experience including managing, coaching and training
FINRA Series 9 & 10
Excellent verbal, written, and interpersonal communication skills
Effective communication in both in‑person environments and team settings to support the Market
Knowledge and understanding of Brokerage Industry, products, and operational procedures
Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
Client service centric for our internal and external customers
Attention to detail and accuracy
Organizational, multi-tasking, and prioritizing skills are essential

Responsibilities

Supervise a team of Client Associates in transactional tasks and processes to ensure timely completion, quality, and compliance
Advance organizational performance by increasing digital onboarding and money‑movement adoption while reducing operational support issues and documentation errors
Lead market readiness for new digital tool through proactive oversight and strategic rollout support
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
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