Market Support Manager

About this role:

Wells Fargo is seeking a Market Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about the career areas and business divisions at wellsfargojobs.com .

In this role, you will:

• Manage and develop a team of individual contributor roles with low to moderate complexity and risk
• Engage stakeholders and internal partners associated with the functional area
• Identify and recommend opportunities for process improvement and risk control development
• Make decisions and resolve issues regarding resources, objectives, and operations
• Interpret and develop policies and procedures with low to moderate complexity within scope of responsibility
• Collaborate and consult with peers, colleagues, and 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:

5+ years of Financial Services operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

2+ years of leadership experience

US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• FINRA registration including Series 65 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• 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
• Leadership skills

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 either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. 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. This will be communicated at time of offer acceptance. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business. 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. 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.

Posting Locations:

• 999 3rd Avenue, Seattle, WA 98104
• 555 110th Avenue NE, Bellevue, WA 98004
• 1300 SW 5th Avenue, Portland, OR 97201

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.
$110,000.00 - $196,000.00