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Branch Operations Manager

2 months ago

Bethesda, Maryland, United States WELLS FARGO BANK Full time

About this Role:

Wells Fargo Bank is seeking a highly skilled Branch Operations Manager to join our Wealth and Investment Management team. As a key member of our team, you will be responsible for providing exceptional support to our clients and financial advisors.

Key Responsibilities:

  • 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 to ensure consistent and efficient execution of operational, compliance, and technology policies and procedures.
  • Be responsible for the 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, branches, and other Support Center associates.
  • Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets.

Requirements:

  • 4+ years of experience in the financial services industry, or equivalent demonstrated through work experience, training, military experience, or 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.

Preferred Qualifications:

  • 1+ years of leadership experience.
  • Successfully completed FINRA Series 9/10 to qualify for immediate registration, or FINRA recognized equivalents.
  • Familiarity with the 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 a 90 or 180-day time period, depending on the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted.
  • 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.

Benefits:

  • 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.