GBBC Member Careers

Vice President for Brokerage Operations, Securities Operations Senior Manager

Wells Fargo

Wells Fargo

Multiple locations
Posted on Thursday, August 24, 2023

In this role, you will:

  • Leverage experience transforming operational functions in the financial services industry to bring teams together and build effective, efficient operational capabilities aligned with client journeys.
  • Provide leadership to all aligned teams to improve processes, implement controls, manage resources, and execute on the WIM Operations strategic plan.
  • Collaborate with senior leaders and provide input to establish the strategic direction for business initiatives.
  • Ensure operational policies and procedures comply with regulatory compliance for all aligned capabilities.
  • Recruit, develop, and retain top talent.
  • Contribute to the long term vision and series of key client, team member, operational, risk, cultural, and financial outcomes to be achieved with transformation.
  • Contribute to the development and evolution of a multi-year transformation roadmap.
  • Develop and execute effective change strategies and plans in collaboration with COEs, Operations leadership, Ops Tech leadership, and other key partners to ensure adoption, high team ember engagement, and achieve desired outcomes.
  • Develop and execute processes and tools to hold individuals and teams accountable for progress.
  • Contribute to the development of digital strategies to improve the client experience and make the business more efficient and effective.
  • Ensure all compliance and regulatory requirements are implemented, and SLAs to all partners and stakeholders are met.
  • Participate in the review of end-to-end business processes to determine where we can simplify and create more efficiencies.
  • Develop and execute measurement strategies in partnership with finance and others to measure progress and the ultimate impact of initiatives; ensure alignment with stated goals and commitments, and facilitate remediation plans if needed to deliver on commitments.
  • Develop and leverage data-based insights to manage teams and drive continuous improvement.
  • Engage with internal partners and peers associated with the function
  • Identify and recommend opportunities for process improvement and risk control development
  • Develop policies and procedures for securities operations within the scope of moderate complexity and responsibility
  • Collaborate and influence all levels of professionals including managers
  • Lead team to achieve objectives
  • Manage allocation of people and financial resources for Securities Operations
  • Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications:

  • At least 7 years Experience in Securities Operations, retail brokerage or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • At least 10 years management experience

Desired Qualifications:

  • Expertise in Wealth Management, Retail Brokerage or Financial Services Industry business and operational capabilities.
  • Demonstrated ability leading a major function or large geographic segment of a financial services organization
  • Demonstrated ability to interact with effectively with a variety of contacts, primarily senior management
  • Solid risk management skills
  • Demonstrated ability to manage through middle and upper level managers
  • Demonstrates a high degree of reliability, integrity, and trustworthiness in all areas
  • Exhibits excellent problem solving and analytical skills
  • Experienced in process improvement and quality frameworks
  • Excellent soft skills - communication skills and ability to influence at senior levels
  • Demonstrate expertise in project management, stakeholder engagement, people leadership, delivery of quality work products
  • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
  • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
  • Ability to negotiate and facilitate issue resolution
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Preferably with a FINRA Series 7/24/99 but it is not required

About Wells Fargo

Wells Fargo & Company (NYSE: WFC) is a leading global financial services company with $2.0 trillion in assets and offices in over 25 countries. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides asset management, capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the global economy. At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We also value the viewpoints of our team members and encourage them to be their best. Join our diverse and inclusive team where you will feel valued and inspired to contribute your unique skills and experience. We are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Learn more at our International Careers website.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement.

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, age, 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.

Drug and Alcohol Policy

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