Brokerage Support Associate Manager

Wells Fargo Bank•Sunset, NV

3d•Onsite

About The Position

Wells Fargo is seeking a Brokerage Support Associate Manager for the Advisor Support Team (AST) supporting Wells Fargo Advisors within Wealth & Investment Management. The role leads a team of Registered and Unregistered Client Associates and supports Financial Advisors across the WFA footprint. It focuses on timely, high-quality, compliant transaction processing; increasing digital onboarding and money-movement adoption; and reducing operational support issues and documentation errors. The manager serves as an initial contact for operational, service, and technology inquiries from Financial Advisors, Client Associates, and other branch associates. The position oversees onboarding, training, recognition, engagement, and development of Client Associates in designated markets, and manages people and financial resources for advisor support. It also involves supervisory decisions, issue resolution, collaboration with internal partners and field leaders, and improvement of customer service, policies, procedures, and risk controls. Ongoing employment requires maintaining applicable FINRA licenses and may require state registration or product-specific or SAFE licenses. Candidates must pass FINRA background screening and meet enhanced financial fitness and criminal background standards, as well as ongoing regulatory obligations. The position is not eligible for visa sponsorship. The posting lists a base pay range of $77,000 to $121,000, with possible incentive opportunities. The posting location is 6325 S Rainbow Blvd, Las Vegas, Nevada.

Requirements

At least 4 years of customer service, financial services, or contact center experience, or equivalent experience demonstrated through work experience, training, military experience, or education.
At least 1 year of leadership experience, including managing, coaching, and training.
For U.S. candidates: successful completion of FINRA Series 7 and 63, or Series 7 and 66, examinations (or FINRA-recognized equivalents) sufficient to qualify for immediate FINRA registration.
Obtain and/or maintain appropriate FINRA licenses for ongoing employment; state registration, product licenses, or SAFE licensing may also apply as applicable.
Successfully pass the required background check and meet enhanced financial fitness and criminal background standards.
Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents; comply with applicable policies regarding outside activities and personal investing.

Nice To Haves

Brokerage client support experience or financial services industry experience.
Successful completion of FINRA Series 9/10 (or FINRA-recognized equivalents).
Demonstrated change-management and conflict-resolution skills.
Ability to assess issues, make quick decisions, implement solutions, and influence change.
Customer-service focus and ability to balance the needs of clients, shareholders, and team members.
Expert brokerage operational knowledge.
Intermediate Microsoft Office skills.
Strong attention to detail and accuracy.
Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment.

Responsibilities

Lead Registered and Unregistered 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 and reducing operational support issues and documentation errors.
Support Financial Advisors within the WFA footprint.
Identify opportunities to improve customer service, policies and procedures, and customer-service risk controls.
Make daily supervisory and tactical decisions; resolve customer, colleague, and staffing issues under the direction of customer service management, using interpretation of policies and procedures.
Collaborate and consult with internal partners, field leaders, and colleagues to support customer satisfaction, and interact directly with internal partners.
Manage allocation of people and financial resources for financial advisor support.
Mentor and guide direct reports' talent development and assist with hiring.
Serve as the initial contact for operational, service, and technology inquiries from Financial Advisors, Client Associates, and other branch associates.
Oversee onboarding, training, recognition, engagement, and development of new and existing Client Associates in designated markets.
Ensure Client Associates are trained in key Client Relationship Group ease-of-doing-business initiatives.
Follow applicable risk programs, policies, and procedures; fulfill risk and compliance obligations; and escalate and remediate issues appropriately.