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Wells Fargo · 1 day ago

Brokerage Support Manager

Brentwood, TN

Full-time

Onsite

Mid, Senior Level

4+ years exp

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. The role involves leading support functions for multiple business groups, executing supervisory approvals, and acting as a primary point of escalation for operational controls and inquiries.

BankingFinancial ServicesFinTechInsurancePayments

Responsibilities

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

Qualification

FINRA Series 7FINRA Series 63Financial Services ExperienceClient Service SkillsRegulatory KnowledgeLeadership ExperienceMS Office ExperienceAttention to DetailOrganizational SkillsCommunication Skills

Required

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