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Wells Fargo WFA Regional Supervisor 1 - Middle Office Services Group Qualified Principal in Saint Louis, Missouri

Job ID: 5552099

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to 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.

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.

Responsibilities may include, but are not limited to, the following:

  • Facilitating money movement in a fast paced environment by processing service requests

  • Assisting internal and external clients by providing excellent customer service

  • Providing support to management and acting in a leadership role if management is not available

  • Conducting certain client account approvals

  • Placing outbound calls to clients to confirm transactions and/or obtain additional information as needed

  • Monitoring department service level agreements (SLAs) and making necessary adjustments to ensure they are met

  • Assisting with the oversight of risk/fraud management

  • Responsible for meeting departmental goals/metrics and following policy guidelines

  • Leading or participating in special projects as assigned by management

Middle Office Services Group is open from 8:00am to 6:00pm CST in St. Louis, MO. The selected candidate will be assigned an 8-hour shift within these hours, but must be available to support any shift within the department hours. Working additional hours outside of normal business hours, as well as Saturdays, may be required as volumes dictate.

This individual in this role performs duties and functions that require a FINRA Series 7 (or FINRA recognized equivalents) license at the time of hire.

Required Qualifications:

  • 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)

Desired Qualifications:

  • 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

  • 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-

  • Ability to work additional hours as needed

  • Ability to work outside of regular business hours

Job Expectations:

  • 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-

  • Ability to work additional hours as needed

  • Ability to work outside of regular business hours

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psc/PSEA/APPLICANTNW/HRMS/c/HRSHRAMFL.HRSCGSEARCHFL.GBL?Page=HRSAPPJBPST_FL&FOCUS=Applicant&SiteId=1&JobOpeningId=5552099&PostingSeq=1.

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.

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.

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