Wells Fargo

Brokerage Support Manager

Wells Fargo

full-time

Posted on:

Location Type: Office

Location: Nashville • Kentucky • Tennessee • United States

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About the role

  • 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

Requirements

  • 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 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
  • 1+ years of leadership experience
  • 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
  • MS Office (Teams, Outlook, Word, Excel, PowerPoint) experience
Benefits
  • Health insurance
  • 401(k) matching
  • Paid time off
  • Flexible work arrangements
  • Professional development opportunities

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
operational transaction requestscompliance requirementsprocess improvementrisk control developmentanalytical skillsorganizational strategysupervisory reviewasset movementaccount maintenanceorder errors
Soft skills
leadershipclient serviceattention to detailorganizational skillsmulti-taskingprioritizingverbal communicationwritten communicationinterpersonal communicationmentoring
Certifications
FINRA Series 7FINRA Series 63FINRA Series 66