Secondary Market Manager jobs in Des Moines, IA

About this role:

Wells Fargo is seeking a Market Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role you will:

• Have responsibility for all day-to-day brokerage client support functions across multiple sales locations. 
• Work closely with the Branch and Market Managers to ensure the timely execution and delivery of brokerage transactional and service support functions for clients, Financial Advisors and Licensed Bankers. 
• Communicate, implement, monitor and enforce firm operational policy and procedures and ensure adherence to these policies and procedures.
• Play a critical role in assisting Branch and Market Managers to execute the service and support model that allows them to recruit, retain and develop Financial Advisors while delivering superior service to clients
• Serve as primary escalation point of contact for operational and service inquiries from FAs, branches, the back office, clients, and other Support Center Operational associates.
• Serves as the key contact for operational risk management issues across the Support Center and manage service standards to ensure timely and accurate delivery of operations support.
• Recruit, hire, train, coach and manage all field-based Client Associates and Support Center Associates.

Required Qualifications:

• 4 years of Financial Services operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 2 years of leadership experience
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• FINRA registration including Series 65 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multi tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills 
• Leadership skills

Job Expectations:

• Registration for FINRA Series 66 or 65 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted
• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
• 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 may also be required

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Posting Location: 655 S 50th St, West Des Moines, IA 50265

Posting End Date: 

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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, visit Disability 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.