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WFA Ops Manager 3 - S & O: Account Opening And Maintenance Operations

Expired Job

Wells Fargo Saint Louis , MO 63150

Posted 4 months ago

Job Description:

At Wells Fargo, we have one goal: to satisfy our customers' financial needs and help them achieve their dreams. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

The WFA Account Opening and Maintenance Operations (AOM) Group supports the accurate and timely set up and maintenance of brokerage accounts. Group responsibilities include:

  • Providing field support on client facing inquiries and service transactions

  • Processing new account setup and maintenance activities

  • Managing offshore and shared services partners to ensure quality and efficiency

  • Partnering with groups across the firm to develop and deliver high quality, well controlled systems and processes.

The AOM WellsTrade Manager (WFA Operations Manager 3) is responsible for managing and providing effective leadership to the AOM WellsTrade team as they serve our customers during the opening and maintenance of self-directed and solutions accounts. This position will be responsible for a variety of operational tasks for the AOM Department that requires extensive knowledge of unit functions and systems.

The AOM WellsTrade Manager will achieve success through effective management of the following key responsibilities:

  • Manage and provide leadership of small to medium units of nonexempt and/or exempt staff

  • Building strong collaborative relationships with partner groups including WellsTrade Control, WellsTrade Principal, Middle Office, and DSR

  • Work independently with considerable latitude, managing various production initiatives and projects requiring coordination of resources, budgets and deadlines.

  • Effectively communicating with stakeholders through one-on-one conversations, group discussions, and large scale presentations

  • Responsible for service delivery quality, adequate controls, and maintaining service level expectations for all functions within team

  • Actively managing and mitigating risk through comprehensive mitigation planning and implementation and thorough management and escalation of issues and concerns. Ensuring regulatory compliance through effective operational and financial controls.

  • Building a productive, highly engaged workforce by fostering an environment of trust, integrity, open two-way communication, personal accountability, and excellence.

  • Proactively seeking feedback from key partners and team members to ensure continuous improvement

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.

  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

Required Qualifications

  • 6+ years of operations experience
  • 2+ years of leadership experience in operations

Desired Qualifications

  • Excellent verbal, written, and interpersonal communication skills

  • Ability to interact with all levels of an organization

  • 2+ years of brokerage operations experience

  • Brokerage operations control or risk experience

  • Ability to manage initiatives involving process improvements

  • A BS/BA degree or higher

Other Desired Qualifications

  • WellsTrade operational knowledge

  • Knowledge of the FINRA, SEC (and other regulatory) rules and regulations for brokerage/banking environment.

  • Ability to partner and collaborate on processes and interdepartmental projects.

  • Strong relationship-building skills, with the ability to engage and influence others toward achieving common business goals.

  • Strong interpersonal and communication skills, including the ability to simplify/summarize complex data, issues, or situations in presentations to executive management.

  • Proven record of success working in a highly-regulated, quality-focused environment with complex compliance and operational controls.

  • Results-oriented with experience leading diverse groups and large-scale, complex, multidimensional projects.

  • System knowledge: Thomson BETA, Wisdom, New Account Opening Wizard

Job Expectations

  • Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 review process at the time of offer acceptance.

Disclaimer

All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

WEALTH INV MGMT/WIM PSI 0222392 WEALTH INV MGMT/WIM PSI


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WFA Ops Manager 3 - S & O: Account Opening And Maintenance Operations

Expired Job

Wells Fargo