Assistant Field Support Associate Manager
Company: Wells Fargo
Location: Philadelphia
Posted on: August 7, 2022
Job Description:
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 .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 talentRequired 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
registrationDesired Qualifications:
- 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 Job
Expectations:
- 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 19428We 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.
Keywords: Wells Fargo, Philadelphia , Assistant Field Support Associate Manager, Executive , Philadelphia, Pennsylvania
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