About this role:

Wells Fargo is seeking a Brokerage Support Associate Manager as part of the Advisor Support Team (AST) for Wells Fargo Advisors (WFA) in Wealth & Investment Management (WIM).  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Lead a team of Registered and Unregistered Client Associates in transactional tasks and processes to ensure timely completion, quality, and compliance
• Advance organizational performance by increasing digital onboarding and money‑movement adoption while reducing operational support issues and documentation errors
• Support Financial Advisors within the WFA footprint
• Identify opportunities for customer service improvement, policy and procedure enhancement, and risk control development in customer service
• Make daily supervisory and tactical decisions and resolve issues related to customers and colleagues, as well as staffing requirements under direction of customer service management, leveraging interpretation of policies and procedures
• Collaborate and consult with internal partners, field leaders, and colleagues to ensure customer satisfaction
• Interact directly with internal partners
• Manage allocation of people and financial resources for financial advisor support
• Mentor and guide talent development of direct reports and assist in hiring talent
• Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, Client Associates, and other branch associates
• Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets
• Ensure Client Associates are trained in key Client Relationship Group ease of doing business initiatives

Required Qualifications:

• 4+ years of Customer Service, Financial Services or Contact Center experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience including managing, coaching and training
• 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:

• Brokerage client support experience or financial services industry experience
• Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents)
• Demonstrated change management and conflict resolution skills
• Ability to assess issues, make quick decisions, implement solutions, and influence change
• Customer service focus with the ability to balance needs of clients, shareholders, and team members
• Expert brokerage operational knowledge
• Intermediate Microsoft Office skills

• Strong attention to detail and accuracy
• Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment

Job Expectations:

• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.  In addition state registration, 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 review process at the time of offer acceptance.
• 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. Information will be shared about expectations during the recruitment process.
• This position is not eligible for Visa sponsorship.

Posting Location:

6325 S Rainbow Blvd

LAS VEGAS, NV 89118

United States of America

Pay Range
 

Posting End Date:

*Job posting may come down early due to volume of applicants.

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.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.