Wells Fargo


St. Louis, Missouri



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Operations Manager 3 Advisory Quality Control & Review Team

Wells Fargo - St. Louis, Missouri

Posted: 12/7/2018

Job Description

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) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

Job Description:

Advisory products are a strategic focus of the firm, and adequate operational support is required to facilitate that strategy and enable growth opportunities. In order to ensure we continue to deliver outstanding service while minimizing risk to the firm we have created a new team dedicated to control and quality activities. This is an exciting opportunity for a detail oriented and quality focused team member to be a part of the Advisory Quality Control and Review Team. This role will be responsible for managing a team, developing relationships with key business partners across the WF enterprise. The process manager role will also represent the Advisory Operations & Portfolio Implementation team on department projects, reporting monthly metrics, and improvement initiatives.

Overall Responsibilities

  • Manages directly and through subordinates, quality control and review activities supporting Advisory Account Set-up, Fee Billing, and Portfolio Implementation.
  • Coaching and developing team members
  • Lead projects and initiatives related to regulatory or policy requirements with an expectation to deliver on time
  • Lead / participate in Advisory Fee Billing Reviews
  • Ability to partner with multiple lines of business and technology partners

Important Information:

  • After submitting your application, please monitor your e-mail for future communications
  • Once your application is received, Wells Fargo will make initial contact with you via e-mail
  • Please ensure your contact information (e-mail address and phone number) is current in your Wells Fargo Jobs Profile
  • If your contact information has changed, please update prior to applying to this position
  • Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo
  • Due to a high volume of inquiries, please do not contact the hiring manager listed. Any inquiries sent to the hiring manager listed will not receive a response
  • Wells Fargo will not sponsor visas for these positions and will not hire individuals whose work eligibility is based on their F-1 or other student visa status such as Optional Practical Training (OPT). Candidates must be authorized to work in the United States on a permanent basis.

Required Qualifications

  • 6+ years of operations experience
  • 2+ years of management experience in an operations environment
Desired Qualifications

  • 2+ years of brokerage operations experience
  • Ability to communicate effectively with business partners and project managers
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Ability to identify and evaluate exposures and potential risks
  • Advanced Microsoft Office skills
  • Strong project management skills
  • 1+ year of leadership experience including coaching, training, and mentoring
  • Experience resolving and working through escalated and complex issues
  • Ability to interact with all levels of an organization; including management
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
Job Expectations

  • 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.
  • 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.

  • 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.

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