Wells Fargo
Branch Support Manager
Wells Fargo, Bethesda, Maryland, us, 20811
About this role:
Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) .
In this role, you will:
Act as a liaison between Market Leaders, 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 supervisory 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.
Serve as the main point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates
Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated 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
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:
1+ years of leadership experience
Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents)
Familiarity with Support Center model
Knowledge and understanding of branch exams and regulatory requirements from an operational support perspective
Strong client service skills
Strong attention to detail and accuracy skills
Effective organizational, multi-tasking, and prioritizing skills
Strong verbal, written, and interpersonal communication skills
Job Expectations:
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
FINRA Series 9/10 and 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.
This role no longer requires completion of the Series 9 & 10. Please disregard this requirement.
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.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
This position is not eligible for Visa sponsorship.
Posting Location:
1753 Pinnacle Drive, McLean VA
Bethesda MD, Hagerstown MD, or Newark DE locations may also be considered
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$73,100.00 - $143,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement
Posting End Date:
1 Dec 2024
*****
Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: 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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.
Req Number:
R-406565
Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) .
In this role, you will:
Act as a liaison between Market Leaders, 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 supervisory 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.
Serve as the main point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates
Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated 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
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:
1+ years of leadership experience
Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA recognized equivalents)
Familiarity with Support Center model
Knowledge and understanding of branch exams and regulatory requirements from an operational support perspective
Strong client service skills
Strong attention to detail and accuracy skills
Effective organizational, multi-tasking, and prioritizing skills
Strong verbal, written, and interpersonal communication skills
Job Expectations:
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
FINRA Series 9/10 and 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.
This role no longer requires completion of the Series 9 & 10. Please disregard this requirement.
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.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
This position is not eligible for Visa sponsorship.
Posting Location:
1753 Pinnacle Drive, McLean VA
Bethesda MD, Hagerstown MD, or Newark DE locations may also be considered
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$73,100.00 - $143,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement
Posting End Date:
1 Dec 2024
*****
Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: 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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.
Req Number:
R-406565