Site Safety Specialist promoting Prime Controls' safety culture while ensuring compliance with health and safety standards.
About the role
- Supervising Client Associates in Brokerage Support for Wealth and Investment Management at Wells Fargo. Managing team operations, compliance, and strategic support for digital tools.
Responsibilities
- Supervise a team of Client Associates in transactional tasks and processes to ensure timely completion, quality, and compliance
- Advance organizational performance by increasing digital onboarding and money ‑ movement adoption while reducing operational support issues and documentation errors
- Lead market readiness for new digital tool through proactive oversight and strategic rollout support
- 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 with the Market Support Manager, 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
- Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates
- Act as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates in various aspects of operations, compliance, and technology
- Be responsible for execution of various approvals for the Support team including supervisory review and approval of operational transaction requests such as asset movement, account maintenance, order errors, document approvals and various remediation projects
- Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets
- Ensure Client Associates are trained in key CRG ease of doing business initiatives
- Visit branches across the Market to oversee operational/support practices and coach on operational risk
Requirements
- 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
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
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