Branch Support Manager

Wells Fargo • ALBANY, New York, United States of America • 15h ago

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
Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents)
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.
Ability to travel up to 20% of the time.

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 Locations:

125 High St., Boston, MA 02110

130 Turner St Building 3 -8th Fl, Waltham, MA 02453

6390 Main St., Buffalo, NY 14221

400 Meridian Centre Blvd, Suite 210, Rochester, NY 14618

500 Plum Street, 5th Floor Bridgewater Place, Syracuse, NY 13204

4 Tower Place 9th Fl, Albany, NY 12203

180 Battery St Suite 300, Burlington, VT 05401

1 Portland Sq Ste 600, Portland, ME 04101

Massachusetts – Boston Pay Range: $92,000 - $145,000 Annually

Massachusetts – Waltham Pay Range: $85,000 - $133,000 Annually

New York – Buffalo Pay Range: $85,000 - $133,000 Annually