Apply on Employer Site

Wells Fargo · 14 hours ago

Branch Support Manager

Virginia Beach, VA

Full-time

Hybrid

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 serving as the initial point of contact for operational, service, and technology inquiries, acting as a liaison among various stakeholders, and ensuring the effective execution of operational and compliance policies.

BankingFinancial ServicesFinTechInsurancePayments

No H1B

Responsibilities

Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates

Act as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates in various aspects of operations, compliance, and technology

Collaborate with the Brokerage Support Manager and other support team members, as projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures

Be responsible for execution of various approvals for the Support team including supervisory review and approval of operational transaction requests such as asset movement, account maintenance, order errors, document approvals and various remediation projects

Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets

Support firm goals to drive adoption around key CRG ease of doing business initiatives across the market

Ensure Client Associates are trained in key CRG ease of doing business initiatives

Visit branches across the Market to oversee operational/support practices and coach on operational risk

Qualification

FINRA Series 7FINRA Series 63Financial Services ExperienceFINRA Series 9/10Client Service SkillsLeadership 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 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. 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%

This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents