Director Operational Risk Jobs in Ocala, FL (NOW HIRING)

About this role:

Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors.This leadership role offers you an opportunity to guide and develop a highperforming team while enhancing operational excellence across our markets and serving as a trusted partner. Learn more about the career areas and business divisionsat wellsfargojobs.com.

In this role, you will:

• 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 moneymovement 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, 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

Required Qualifications:

• 4+ 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
• US only: 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

Desired Qualifications:

• 1+ year of leadership experience including managing, coaching and training
• Excellent verbal, written, and interpersonal communication skills
• Effective communication in both inperson environments and team settings to support the Market
• Knowledge and understanding of Brokerage Industry, products, and operational procedures
• Understanding of brokerage branch exams and regulatory requirements from an operational support perspective
• Client service centric for our internal and external customers
• Attention to detail and accuracy
• Organizational, multi-tasking, and prioritizing skills are essential
• Series 9/10 licensing

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day time period if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing 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 is required.
• This role desires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• This position is not eligible for Visa sponsorship.
• Ability to travel up to 20%.

Posting Locations:

• 480 N Orlando Ave Ste 200 - Winter Park, FL 32789
• 1894 Laurel Manor Drive - The Villages, FL 32162
• 1 Independent Dr - Jacksonville, FL 32202
• 1499 S Harbor City Blvd, Ste 400 - Melbourne, FL 32901
• 818 N Hwy A1A - Ponte Vedra Beach, FL 32082

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.