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Wells Fargo · 2 days ago

Branch Support Manager

Grand Rapids, MI

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, executing supervisory approvals, and collaborating on compliance requirements while providing leadership and consultation for process improvement.

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

Financial Services ExperienceFINRA Series 7FINRA Series 63Leadership ExperienceClient Service SkillsMS 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

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

Ability to travel up to 20%