Branch Support Manager

Branch Support Manager In Wealth And Investment Management

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. This role involves leading or participating in support functions for multiple business groups and contributing to large scale strategic initiatives. The responsibilities include executing various supervisory approvals for the Brokerage Support team, ensuring timely completion, quality, and compliance of operational transaction requests. Additionally, the role requires collaboration with peers, colleagues, and mid-level managers to adhere to policies, procedures, and compliance requirements. The primary point of escalation for operational controls, technology, and service inquiries from Financial Advisors, Client Associates, and other branch and Support Center employees will also be managed to resolve complex issues related to work allocation and daily operations. The role involves leading or participating 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.

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 :

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.

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.

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. 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.

This position is not eligible for Visa sponsorship. Ability to travel up to 20% of the time.

Posting Locations :

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.