Brokerage Support Associate Manager
About This RoleWells Fargo is seeking a Brokerage Support Associate Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com.In This Role, You WillSupervise a team of Client Associates in transactional tasks and processes to ensure timely completion, quality, and complianceAdvance organizational performance by increasing digital onboarding and money‑movement adoption while reducing operational support issues and documentation errorsLead market readiness for new digital tool through proactive oversight and strategic rollout supportIdentify opportunities for process improvement and risk control development in less complex functional areasMake day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operationsLeverage interpretation of policies, procedures, and compliance requirementsCollaborate with the Market Support Manager, peers, colleagues, and mid-level managers as well as interact directly with external customersManage allocation of people and financial resources for Brokerage SupportMentor and guide talent development of direct reports and assist in hiring talentServe as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associatesAct as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates in various aspects of operations, compliance, and technologyBe 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 projectsBe responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated marketsEnsure Client Associates are trained in key CRG ease of doing business initiativesVisit branches across the Market to oversee operational/support practices and coach on operational riskRequired Qualifications2+ years of Securities industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education1+ years of leadership experienceUS 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 registrationDesired Qualifications1+ year of leadership experience including managing, coaching and trainingFINRA Series 9 & 10Excellent verbal, written, and interpersonal communication skillsEffective communication in both in‑person environments and team settings to support the MarketKnowledge and understanding of Brokerage Industry, products, and operational proceduresUnderstanding of brokerage branch exams and regulatory requirements from an operational support perspectiveClient service centric for our internal and external customersAttention to detail and accuracyOrganizational, multi-tasking, and prioritizing skills are essentialJob ExpectationsUS 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 desires 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. Information will be shared about expectations during the recruitment process.This position is not eligible for Visa sponsorship.Ability to travel up to 20%.Posting Locations: 3105 Glenwood Ave, Ste 201 - Raleigh, North Carolina 27612-5059Reference NumberR-527722