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Lead Escalations Specialist-Registered

  • Operations
  • Full time
  • R-376966

Why Wells Fargo:

This is where your true career begins. We ranked #2 on the 2023 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S.  At Wells Fargo, we support employees’ career aspirations and growth. We’re proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace.

We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees. Our customers invest with us, we invest in you. Apply today.

About this role:

Wells Fargo is seeking a Lead Escalations Specialist - Registered...

In this role, you will:

  • Lead the review of complex and sensitive customer complaints or inquiries, including those that are cross-functional with broad impact on loan quality and practices, and act as key participant in long-term planning for the executive offices requiring registered support

  • Review and analyze complex, multi-faceted, longer-term business, operational, or technical challenges that require in-depth evaluation of multiple factors including intangibles or unprecedented factors

  • Make decisions in complex and multi-faceted situations requiring solid understanding of the function, policies, regulations, procedures and compliance requirements that influence and lead the executive office to meet deliverables and drive new initiatives; determine and execute appropriate course of remedial action

  • Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve sensitive customer complaints, inquiries, mediations, and corrective actions; may lead projects, teams or serve as a peer mentor

  • Engage with customer via written and verbal communication to seek understanding, provide updates, and to clearly communicate resolution

  • Review complex customer transactions, process gaps, or research that require in-depth evaluation and special handling in response to highly sensitive customer inquiries, allegations, and complaints

  • Conduct investigative steps and prepare materials to fully identify the issues, including research on product information, terms, conditions, regulations, or contracts

  • Propose recommendations which may have a fundamental impact on future loan quality, or are related to matters of high sensitivity and financial impact

Required Qualifications:

  • 5+ years of Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

  • Experience in Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education

Job Expectations:

  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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.


Posting End Date: 

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

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