Assistant Field Support Associate ManagerLocation: Conshohocken, Pennsylvania, Philadelphia, Pennsylvania Job ID R-117455
At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
About this role:
Wells Fargo is seeking an Assistant Field Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com.
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 Field Support
- Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications, US:
- 2+ 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
- 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
- FINRA registration including Series 65 (or FINRA recognized equivalents)
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Ability to provide leadership to a financial services team
- Ability to process complex transactions and perform extensive research to resolve complex customer issues
- Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
- Strong attention to detail and accuracy skills
- Strong organizational, multi-tasking, and prioritizing skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to negotiate and facilitate issue resolution
- 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 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 may also be required.
Posting Locations: 30 South 17th Street, 20th Floor, Philadelphia, PA 19103; One Fayette Street; Suite 200, 2nd Floor, Conshohocken, PA 19428
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, or status as a protected veteran.
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.