Charlotte, North Carolina

Job Description

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth & Investment Management, or 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

WIM serves clients through the following businesses:

  • Wells Fargo Private Bank serves high-net-worth individuals and families.
  • Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers. 
  • Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

The Alternative Investment Operations Group is seeking a top performing, results oriented applicant to fulfill the Alternative Investment Operations Manager role. This key Department Manager position leads a department of over 30 FTEs including Process Managers and Business Support employees. The department handles all processing for Alternative Investment Transfers, Product Approvals, Trades, Commissions as well as Service Calls. The ideal candidate will have the ability to improve the Alternative Investment Operations client experience through transformation.  A strong track record of workflow, organization and technology management is key.  Alternative Investment Product and Industry understanding is preferred.
Duties include but are not limited to:

  • Work with internal business and enterprise partners to ensure accurate and timely execution of Alternative Investment Subscriptions, Transfers and Redemptions 
  • Partner with key internal and external partners to develop and deliver high quality oversite and business processing requirements.
  • Play a key part in ensuring that all technology and process changes are effectively implemented.
  • Drive for results, conveying a sense of urgency and bringing issues to closure despite obstacles and opposition
  • Ensure operational policies and procedures comply with regulatory compliance for all aligned capabilities.
  • Evaluate operating processes and controls for potential risks and enhancement opportunities. 

As an Employee Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically, you will: 

  • Lead your team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing and developing employees, identifying and managing risks, and completing daily management tasks.


 



Required Qualifications

  • 9+ years of operations experience demonstrated through work or military experience
  • 6+ years of management experience in operations demonstrated through work or military experience



Desired Qualifications

  • Solid budget forecasting and risk management skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of an organization
  • 10+ years of brokerage operations experience
  • Knowledge and understanding of financial industry alternative investment operations
  • FINRA registration including Series 99 (or FINRA recognized equivalents)
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
  • FINRA registration including Series 24 (or FINRA recognized equivalents)
  • Ability to manage process improvement initiatives to optimize operational effectiveness and efficiencies
  • Ability to provide oversight and guidance on escalated issues
  • Knowledge and understanding of offshore operations processes
  • Strong time management skills and ability to meet deadlines
  • Quality control review experience



Other Desired Qualifications
  • Deep knowledge of Alternative Investments in the retail brokerage industry as well as a proven track record of transforming organizations through process and technology improvements.


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.
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
  • 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.
  • 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.
  • Ability to travel up to 15% of the time



Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MO-Saint Louis: Min: $104,500 Mid: $149,300
NC-Charlotte: Min: $104,500 Mid: $149,300



Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC



Disclaimer

    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.



Benefits Summary

Benefits
 

Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.

Charlotte, North Carolina

At Wells Fargo, we’ve been proudly supporting military veterans and their families for more than 170 years.

We value the leadership, discipline, and skills you’ve gained through your service to our country and recognize the contributions our veteran team members bring to the table. We’re so committed to hiring and retaining military veterans, veterans with disabilities, National Guard members, and Reservists that we’ve made it our goal is to employ 20,000 veterans by 2020.

As a Wells Fargo team member, you’ll find a work culture that is team-oriented, collaborative, structured, and challenging. We support veterans transitioning from military service with a variety of job options, confidential resources, educational information, and career guidance. You may choose to join our Veteran’s Team Member Network, a group of thousands who share an interest in veterans’ matters, and that promotes greater awareness and job development within the veteran community. To learn more about opportunities at our company, please visit wellsfargojobs.com/military. Let’s talk about turning your military experience into a great civilian career.

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