About this role:

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors.  

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
• 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:

• 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:

• US Only: 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.
• 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:

6702 Point Inverness Way, Fort Wayne, IN

8888 Keyston Crsg, Indianapolis, IN

8585 Broadway, Merrillville, IN

Posting End Date: 

17 Jul 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.

Branch Support Manager