Advisory Operations and Portfolio Implementation Leader (WFA Business Leader 3)

Job Description

You have a proven track record of success but you’re looking for more. More responsibility. More challenges. At Wells Fargo you’ll find that opportunity. You’ll join a team of people who are smart and share your values. You can enjoy a diverse career as you learn and grow your capabilities across our multiple lines of business. Our supportive environment can help you make a difference within the company and the communities we serve.

Wells Fargo & Company (NYSE: WFC) is a nationwide, diversified financial services company with $1.7 trillion in assets. Founded in 1852, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 9,000 locations, more than 12,500 ATMs, online (, and mobile devices. Wells Fargo has more than 265,000 team members in 36 countries across our approximately 90 businesses. Wells Fargo & Company was ranked No. 30 on Fortune’s 2015 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

The Advisory Operations and Portfolio Management Implementation group delivers high-quality service to multiple sales channels with unique needs within the brokerage firm across multiple sites, domestically and internationally. The group manages 1.42 million total Advisory accounts in 12 products and $453.1 billion in assets currently under management. The group averages 1,300 new accounts daily and 1.4 million quarterly reports.

The WFA Business Leader within Wells Fargo Advisors’ Service and Operations is a senior leadership role providing strategic oversight and direction for the Advisory Operations and Portfolio Implementation group, which includes Managed Accounts, Advisory Set Up, Billing and Phone Support, to deliver high-quality service to multiple sales channels with unique needs. Working collaboratively with senior leadership within the Services and Operations Group, as well as other key leaders and corporate partners, this role is accountable for driving team performance to achieve the firm’s objectives.


  • Drive operational efficiency, increase productivity, and enhance service through analysis, standardization, sourcing, team member engagement, and performance management.
  • Ensure compliance in a complex regulatory environment through effective operational controls and incorporating updates to regulatory controls into day-to-day operational processes.
  • Build a productive, highly-engaged workforce by fostering trust, integrity, open two-way communication, personal accountability, and excellence.
  • Create a high-performance culture focused on continuous improvement to maximize efficiency, profitability, customer service, and reduction of risk.
  • Develop a strong, cohesive leadership team by attracting, developing, motivating, and retaining top talent.
  • Leverage and develop talent through goal-setting and regular coaching.
  • Sponsor complex, multi-dimensional projects that work toward achieving firm and department goals.
  • Align resources to achieve consistent, reliable, accurate, high-quality client customer service.
  • Ensure seamless service delivery through cross-functional collaboration and removal or mitigation of issues raised by potential obstacles.
  • Meet or exceed assigned business objectives, including productivity and service targets.

Specific Group Responsibilities:

  • Oversee large volume trades and model changes
  • Work in conjunction with Product Team and IT in developing and delivering high quality services
  • Ensure the accuracy of client facing transactions
  • Monitor and enforce federal securities regulations by financial consultants and clients
  • Provide field support on client facing inquiries and service transactions
  • Work closely with external money managers to ensure client accounts are managed appropriately
  • Work in tandem with Compliance, Risk and Audit to ensure all applicable rules and regulations are followed
  • Create effective controls to mitigate risk
  • Work closely with sales channels and other home office partners to improve products and processes
  • Manage offshore partners and ensure quality and efficiency

Required Qualifications

  • 10+ years of financial services industry experience
  • 5+ years of management experience

Desired Qualifications

  • Knowledge and understanding of advisory products and services
  • Knowledge and understanding of investment products and services
  • Financial services experience
  • Brokerage or wealth management experience
  • Brokerage operations experience
  • Strong risk management and compliance skills
  • Knowledge and understanding of business systems analysis or design in a highly regulated industry
  • Knowledge and understanding of business planning and analysis
  • Experience leading an internationally based team
  • Leadership experience including; coaching, training, and mentoring
  • Experience with career development and succession planning
  • Ability to work effectively in virtual environment where key team members and partners are in various time zones and locations
  • Ability to present complex material in a digestible, consumable manner to all levels of management
  • Ability to influence and collaborate at all internal organizational levels
  • Ability to influence across all organizational levels, particularly senior management
  • Ability to consult, build, and maintain solid working relationships in and outside of immediate department
  • Experience delivering results in a fast-paced, deadline driven environment
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Excellent verbal, written, and interpersonal communication skills
  • A Master’s degree or higher
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
  • FINRA registration including Series 65 (or FINRA recognized equivalents)

Job Expectations

  • Registration for FINRA Series 99 must be completed within 120 days of hire date. FINRA recognized equivalents will be accepted.


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.


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