Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (WIM) is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth.
Wells Fargo Advisors (WFA) Middle Office Services Group (MOSG) provides oversight of internal control policies, monetary risk, and approval of account related transactions such as money movement requests (wire funds review and approval, various asset movement approvals such as automated clearing house/ACHs, journal transfers, etc.), letter of authorization approvals, PO Box account update approvals, and account address updates. The Middle Office Services Group currently supports transactions in the Private Client Group (PCG), Wealth Brokerage Services (WBS), Wells Fargo Advisors Financial Network, LLC (FiNet), Wells Trade (WT), and Wells Fargo Advisor Solutions (WFAS). The Middle Office Services Group's primary clients are the members of the sales field. Service requests and phone calls come directly from Financial Advisors and Client Associates. In addition, MOSG team members speak directly with clients to perform wire and PO Box callback verifications, in addition to other inbound RACN calls and other Service Requests types as mandated by queues.
The WFA Regional Supervisor 1, also known as a Qualified Principal, supports the channels with ongoing monitoring of conformity with internal policies, applicable laws, and regulations. The Middle Office Services Group provides support to lines of business that assist clients that communicate, in both verbal and written form, in Spanish.
Responsibilities may include but are not limited to the following:
Assisting with the facilitation of money movement in a fast paced environment by processing service requests
Providing support to management and acting in a leadership role if management is not available
Helping internal and external clients by providing excellent customer service
Conducting certain client account approvals
Monitoring department service level agreements and ensuring they are met
Responsible for meeting departmental goals / metrics and following policy guidelines
Assisting with the oversight of risk / fraud management
Leading or participating with special projects as assigned by the manager
Please note: Middle Office Services Group is open from 8:00am to 6:00pm CST in St. Louis, MO. The selected candidate may be required to support additional hours outside of normal business hours as volume dictates. This may include Saturdays.
1+ year of financial services industry experience
6+ months of experience in branch office compliance, sales supervision, or a combination of both
Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
Bilingual speaking and reading proficiency in Spanish/English
Excellent verbal, written, and interpersonal communication skills
Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to identify and assess issues then make sound decisions
Knowledge and understanding of risk management
Strong attention to detail and accuracy skills
Other Desired Qualifications
Ability to work as part of a team, collaborate with others to meet service level agreements and complete daily goals
3+ years brokerage experience related to front office or back office operations
1+ year experience reviewing, processing, or approving asset movement requests such as journals, automated clearing house (ACH), direct to customer (DTC), partial automated customer account transfers (ACAT), and wires
Knowledge of Service Request workflow and/or completing tasks from a queue
Bilingual speaking and reading proficiency in Portuguese/English
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 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
Registration for FINRA Series 9/10 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
Must take and pass required Spanish language assessment
The salary range displayed below is based on a Full-time 40 hour a week schedule.
MO-Saint Louis: Min: $53,400 Mid: $74,100
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women. Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
Internal Number: 5555584
About Wells Fargo
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through 7,400 locations, more than 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 32 countries and territories to support customers who conduct business in the global economy. With approximately 260,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 29 on Fortune’s 2019 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.
www.wellsfargo.com | Twitter: @WellsFargo