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WFA Business Leader 2 Credit Marg - Full-time / Part-time
•30 days ago
| Hours | Full-time, Part-time |
|---|---|
| Location | saint louis, Missouri |
About this job
Job Title:
WFA Business Leader 2 - Credit Marg
Job ID Number:
5110358
Schedule Type:
Reg-Time
Work Hours:
40
Location:
Saint Louis,MO
Qualifications:
Wells Fargo Advisors (WFA) is one of the nation's premier financial services firms, serving and advising clients nationwide. WFA is a non-bank subsidiary of Wells Fargo & Company, providing advisory services, asset management, brokerage services, estate planning strategies, retirement planning, portfolio analysis and monitoring, and other financial services through more than 18,000 registered representatives.
This specific senior leadership role directs and manages the credit margin group within the asset movement and client onboarding area of Operations for Wells Fargo Advisors brokerage firm. It provides strategic oversight and direction for the various sales channels. The position manages approximately 200 team members across multiple domestic and international sites to deliver high-quality service to multiple sales channels with unique needs. Working collaboratively with senior leadership within Services and Operations, as well as other key leaders and corporate partners, this role is accountable for driving team performance to achieve the firm's objectives.
Responsibilities
* This position oversees the credit margin area within the brokerage firm. Specific group responsibilities include the approval of all asset withdrawals from client accounts, ensure the accuracy of client balances and transactions, ensure accurate daily revaluations of collateral vs margin loans and the collection of equity deficits and/or liquidations, manage offshore and shared services partners to ensure quality and efficiency, partner with IT and business systems to develop and deliver high quality, well controlled systems, monitor and enforce federal securities regulations by financial consultants and clients, and provide field support on client facing inquiries and service transactions.
* Drive operational efficiency, increase productivity, and enhance service through analysis, standardization, sourcing, team member engagement, and performance management.
* Ensure compliance in a complex regulatory environment through effective operational controls and incorporating updates to regulatory controls into day-to-day operational processes.
* Build a productive, highly-engaged workforce by fostering trust, integrity, open two-way communication, personal accountability, and excellence.
* Create a high-performance culture focused on continuous improvement to maximize efficiency, profitability, customer service, and reduction of risk.
* Develop a strong, cohesive leadership team by attracting, developing, motivating, and retaining top talent.
* Leverage and develop talent through goal-setting and regular coaching.
* Sponsor complex, multi-dimensional projects that work toward achieving firm and department goals.
* Align resources to achieve consistent, reliable, accurate, high-quality client customer service.
* Ensure seamless service delivery through cross-functional collaboration and removal or mitigation of issues raised by potential obstacles.
* Meet or exceed assigned business objectives, including productivity and service targets.
* Build a strong management team that meets or exceeds all goals or firm priorities. This would include all monetary, human capital, or social responsibility commitments. The group leader must coach and provide accurate and timely performance feedback to team.
* Foster a positive work environment which includes diversity and inclusion. A positive work environment builds morale and maintains high transactional output.
* Responsible for the creation and execution of effective risk controls. Credit margin are responsible for several key Sarbanes-Oxley controls. Poor execution exposes the firm to substantial risk which could include suspending all brokerage activities in the firm.
* Responsible for the interpretation and execution of complex regulations. Non-compliance puts the firm at substantial monetary and reputational risk.
Overall Responsibilities: Manage substantial resources to meet both budget and production goals. Maintain tight expense management controls. e for leading small to moderately complex or sized function(s) or a smaller portion of a very large or complex function within Wells Fargo Advisors. Provides strategic and/or tactical business leadership and guidance to areas of their own responsibility or to other cross-organizational functions within or outside Wells Fargo Advisors. May set and/or implement strategy on business, product, and/or customer needs. May represent WFA and/or Wells Fargo in aspects of community leadership. Jobs which support brokerage activities may require specific FINRA securities registrations.
8+ years experience in the financial services industry with 3+ years experience in managing and/or leading others. * 8 years of operations or related (audit, risk, compliance) experience and at least 5 of those years in management role.
* Proven ability to manage multiple groups in a large organization across multiple locations, domestically and internationally, with the flexibility to produce results in a changing environment.
* Proven record of leadership success in progressively responsible roles with a strong emphasis on customer service
* Proven record of success working in a highly-regulated, quality-focused environment with complex compliance and operational controls.
* Strong interpersonal and communication skills, including the ability to simplify/summarize complex data, issues, or situations in presentations to executive management.
* Excellent partnership and collaboration skills
* Demonstrated ability to negotiate, lead and influence at all levels within the organization.
* Demonstrated analytical, problem-solving, and decision-making skills.
* Demonstrated ability to lead, coach and develop team members.
* FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.
* At least 10 years of management experience, preferably with experience leading large, diverse groups and complex, multi-dimensional projects in the brokerage industry.
* Proven record of success working in a highly regulated, quality focused environment with complex compliance and operational controls as well as domestic and international locations.
* Broad knowledge of and practical experience in credit operations.
* Master's degree in business or finance
WFA Business Leader 2 - Credit Marg
Job ID Number:
5110358
Schedule Type:
Reg-Time
Work Hours:
40
Location:
Saint Louis,MO
Qualifications:
Wells Fargo Advisors (WFA) is one of the nation's premier financial services firms, serving and advising clients nationwide. WFA is a non-bank subsidiary of Wells Fargo & Company, providing advisory services, asset management, brokerage services, estate planning strategies, retirement planning, portfolio analysis and monitoring, and other financial services through more than 18,000 registered representatives.
This specific senior leadership role directs and manages the credit margin group within the asset movement and client onboarding area of Operations for Wells Fargo Advisors brokerage firm. It provides strategic oversight and direction for the various sales channels. The position manages approximately 200 team members across multiple domestic and international sites to deliver high-quality service to multiple sales channels with unique needs. Working collaboratively with senior leadership within Services and Operations, as well as other key leaders and corporate partners, this role is accountable for driving team performance to achieve the firm's objectives.
Responsibilities
* This position oversees the credit margin area within the brokerage firm. Specific group responsibilities include the approval of all asset withdrawals from client accounts, ensure the accuracy of client balances and transactions, ensure accurate daily revaluations of collateral vs margin loans and the collection of equity deficits and/or liquidations, manage offshore and shared services partners to ensure quality and efficiency, partner with IT and business systems to develop and deliver high quality, well controlled systems, monitor and enforce federal securities regulations by financial consultants and clients, and provide field support on client facing inquiries and service transactions.
* Drive operational efficiency, increase productivity, and enhance service through analysis, standardization, sourcing, team member engagement, and performance management.
* Ensure compliance in a complex regulatory environment through effective operational controls and incorporating updates to regulatory controls into day-to-day operational processes.
* Build a productive, highly-engaged workforce by fostering trust, integrity, open two-way communication, personal accountability, and excellence.
* Create a high-performance culture focused on continuous improvement to maximize efficiency, profitability, customer service, and reduction of risk.
* Develop a strong, cohesive leadership team by attracting, developing, motivating, and retaining top talent.
* Leverage and develop talent through goal-setting and regular coaching.
* Sponsor complex, multi-dimensional projects that work toward achieving firm and department goals.
* Align resources to achieve consistent, reliable, accurate, high-quality client customer service.
* Ensure seamless service delivery through cross-functional collaboration and removal or mitigation of issues raised by potential obstacles.
* Meet or exceed assigned business objectives, including productivity and service targets.
* Build a strong management team that meets or exceeds all goals or firm priorities. This would include all monetary, human capital, or social responsibility commitments. The group leader must coach and provide accurate and timely performance feedback to team.
* Foster a positive work environment which includes diversity and inclusion. A positive work environment builds morale and maintains high transactional output.
* Responsible for the creation and execution of effective risk controls. Credit margin are responsible for several key Sarbanes-Oxley controls. Poor execution exposes the firm to substantial risk which could include suspending all brokerage activities in the firm.
* Responsible for the interpretation and execution of complex regulations. Non-compliance puts the firm at substantial monetary and reputational risk.
Overall Responsibilities: Manage substantial resources to meet both budget and production goals. Maintain tight expense management controls. e for leading small to moderately complex or sized function(s) or a smaller portion of a very large or complex function within Wells Fargo Advisors. Provides strategic and/or tactical business leadership and guidance to areas of their own responsibility or to other cross-organizational functions within or outside Wells Fargo Advisors. May set and/or implement strategy on business, product, and/or customer needs. May represent WFA and/or Wells Fargo in aspects of community leadership. Jobs which support brokerage activities may require specific FINRA securities registrations.
8+ years experience in the financial services industry with 3+ years experience in managing and/or leading others. * 8 years of operations or related (audit, risk, compliance) experience and at least 5 of those years in management role.
* Proven ability to manage multiple groups in a large organization across multiple locations, domestically and internationally, with the flexibility to produce results in a changing environment.
* Proven record of leadership success in progressively responsible roles with a strong emphasis on customer service
* Proven record of success working in a highly-regulated, quality-focused environment with complex compliance and operational controls.
* Strong interpersonal and communication skills, including the ability to simplify/summarize complex data, issues, or situations in presentations to executive management.
* Excellent partnership and collaboration skills
* Demonstrated ability to negotiate, lead and influence at all levels within the organization.
* Demonstrated analytical, problem-solving, and decision-making skills.
* Demonstrated ability to lead, coach and develop team members.
* FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.
* At least 10 years of management experience, preferably with experience leading large, diverse groups and complex, multi-dimensional projects in the brokerage industry.
* Proven record of success working in a highly regulated, quality focused environment with complex compliance and operational controls as well as domestic and international locations.
* Broad knowledge of and practical experience in credit operations.
* Master's degree in business or finance
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