Branch Support Manager

About this role:

Wells Fargo is seeking a Branch Support 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:

• Lead or participate in support functions for multiple business groups and contribute to large scale strategic initiatives
• Lead in the execution of various supervisory approvals for the Brokerage Support team including, supervisory review and approval of operational transaction requests including but not limited to, asset movement, account maintenance, order errors, document approvals and various remediation projects to ensure timely completion, quality, and compliance
• Lead, participate and collaborate with peers, colleagues and mid-level managers in adherence, development and interpretation of policies, procedures, and compliance requirements
• Act as the primary point of escalation for operational controls, technology and service inquiries from Financial Advisors, Client Associates, Operations and other branch and Support Center employees to resolve complex issues related to work allocation, and daily operations
• Lead or participate in research and resolving moderately complex business, operational, and strategic initiatives that require analytical skills, basic knowledge of organizational strategy, policies, procedures, and compliance requirements
• Work independently to identify, strategize and make recommendations for support function by providing support and leadership
• Provide leadership in management of relationships, participate in planning and execution of programs, services, and initiatives that may include risk mitigation, efficiency, and customer experience with cross functional business partners
• Identify and provide consultation on opportunities for process improvement and risk control development
• Lead and support the onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets
• Lead projects, teams or serve as a mentor for those who are less experienced; guide talent development and assist local management in hiring talent for Client Associates within assigned markets

Required Qualifications:

• 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 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

Desired Qualifications:

• 1+ years of leadership experience
• 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

Job Expectations:

• 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 either a 90 or 180-day time period, depending upon number of license(s) needed 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 requires 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
• 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.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Posting Location: 550 S Tryon St., Charlotte, NC 28202

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.