Finet Business Support Manager

About this role:

Wells Fargo is seeking a Business Support Manager to support the Wells Fargo Advisors Financial Network within Wealth and Investment Management. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Work closely with FiNet business owners and divisional leaders to ensure the timely execution and delivery of brokerage transactional and service support functions for clients, and Financial Advisors across multiple sales locations.
• Serve as primary escalation point of contact for operational and service inquiries from FAs, FiNet business owners, the back office, clients, and other operational associates.
• Act as a resource to provide coaching for FiNet practices toward adoption of new business tools and applications.
• Play a critical role in assisting FiNet Business Owners, Divisional leaders to execute the service and support model that allows them to onboard, retain and develop Client Associates while delivering superior service to clients.
• Serve as the key contact for operational risk management issues across the division and manage service standards to ensure timely and accurate delivery of operations support.
• Communicate and enforce firm operational policy and procedures and ensure adherence to these policies and procedures.

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
• 2+ years 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

Desired Qualifications:

• FINRA registration including Series 65 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multi-tasking, and prioritizing skills
• Knowledge and understanding of branch exams and regulatory requirements from an operational support perspective
• Relationship management skills
• Experience with FiNet and/or independent advisors
• Strong operational experience
• Knowledge and understanding of brokerage advisor tools

Job Expectations:

• Ability to travel if necessary, within the division
• Registration for FINRA 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.
• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
• 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
• 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 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.

This position is not eligible for Visa sponsorship.

Posting Location: One North Jefferson, St. Louis, MO 63103

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.