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 the career areas and business divisions at .

In this role, you will:

• Supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance
• Identify opportunities for process improvement and risk control development in less complex functional areas
• Make day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations
• Leverage interpretation of policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues, and mid-level managers as well as interact directly with external customers
• Manage allocation of people and financial resources for Brokerage Support
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Securities industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience
• 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+ year of leadership experience including managing, coaching and training
• Knowledge and understanding of Brokerage Industry, products, and operational procedures
• Excellent verbal, written, and interpersonal communication skills in both team settings and in-person to support the Market
• Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
• Client service centric for our internal and external customers
• Strong attention to detail and accuracy
• Proven ability to prioritize tasks, stay organized, and manage competing demands in a fast-paced environment
• Series 9/10 licensing

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day time period 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 desires 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. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• This position is not eligible for Visa sponsorship.

• Ability to travel up to 20% of the time.

Posting Locations:

265 Brookview Centre Way Ste 100, Knoxville, TN 37919

412 Georgia Ave Ste 215, Chattanooga, TN 37403

297 N Hubbards Ln Fl 3, Louisville, KY 40207

8888 Keystone Crsg Ste 700, Indianapolis, IN 46240

100 Crescent Ct, Dallas, TX 75201

Posting End Date:

*Job posting may come down early due to volume of applicants.