Brokerage Escalations Manager

Company: Wells Fargo
Location: Irving
Posted on: November 27, 2022

Job Description:

About this role: Wells Fargo is seeking an Escalations Manager - Registered In this role, you will:

• Manage and develop a team to handle complex customer service tasks and create initiatives and programs to support Escalations business goals and objectives
• Engage internal partners associated with the Escalations functional area
• Identify and recommend opportunities for process improvement, service standards, and goals within the Escalations functional area
• Make decisions and resolve issues regarding internal and external client complaints
• Interpret and develop Escalations policies and procedures to ensure quality and that service standards meet business objectives
• Collaborate with Escalations team and first-line supervisors
• Interact directly with internal and external customers to resolve their inquiries and complaints
• Manage allocation of people and financial resources for aligned functional area or business group
• Mentor and guide talent development of direct reports and assist in hiring talent Required Qualifications, US:
  • 4+ years of Customer or Investor-facing, Disputes, Claims, or Fraud Resolution experience in the Financial Services or Credit Card industry, 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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications:
    • BA/BS degree or higher in business or finance
    • Knowledge and understanding of securities industry
    • Knowledge and understanding of regulatory compliance requirements surrounding SEC, FINRA, and international regulations for building technological solutions
    • Experience with Wells Fargo complaints management process
    • Ability to develop and negotiate solutions to issues with partners or clients including escalations as needed
    • Ability to interact with integrity and a high level of professionalism with all levels of customers, team members and management
    • Strong analytical skills with high attention to detail and accuracy
    • Advanced Microsoft Excel skills
    • Excellent verbal, written, and interpersonal communication skills Job Expectations:
      • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 (or 24) examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed 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 Job Posting Locations:
        • St. Louis, Mo
        • Irving, TX This position is not eligible for Visa sponsorship 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, or status as a protected veteran. 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.

Keywords: Wells Fargo, Irving , Brokerage Escalations Manager, Executive , Irving, Texas