Divisional Governance Manager

2 weeks ago


San Francisco, California, United States WELLS FARGO BANK Full time
About this Role

We are seeking a highly skilled Divisional Governance Manager to join our Wealth and Investment Management team at Wells Fargo Advisors. As a key member of our leadership team, you will be responsible for ensuring the day-to-day administrative functioning of our branch offices within the Market.

Key Responsibilities
  • Supervise the administrative functioning of branch offices, including oversight of Registered and Unregistered Associates.
  • Collaborate with the Market Leadership Management Team, Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met.
  • Recruit, train, and manage direct report personnel, ensuring they perform daily, weekly, monthly, and quarterly supervisory reviews and tasks.
  • Act as a liaison contact for home office escalations, inquiries, and initiatives.
  • Serve as a liaison and escalation point for all other support areas.
  • Explain policies and procedures to branch employees and ensure adherence.
Requirements
  • 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience.
  • 2+ years of leadership experience.
  • US Only: Successfully completed FINRA Series 7, 9, 10, and 66 (or 63 and 65) examinations.
Desired Qualifications
  • 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.
  • Ability to provide leadership to a financial services team.
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues.
Job Expectations
  • US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment.
  • Ability to travel up to 25% of the time.
  • 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.
  • This position is subject to FINRA Background Screening Requirements.
  • This position is not eligible for Visa sponsorship.


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