Business Execution Director, Client Relationship Group

Department Overview

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.

The Client Relationship Group (CRG) is the largest business within the Wealth & Investment Management division. CRG includes 500 brokerage offices in all 50 states, branch-based financial advisors, independent advisors affiliated with Wells Fargo Advisors Financial Network, and First Clearing. Altogether, these businesses cover three million clients, $2 trillion client assets, and about 12,500 wealth and financial advisors.

• Act as a strategic partner to the Client Relationship Group LOB within WIM providing expertise on capabilities aligned to this group.
• Serve as a single point of contact for the Client Relationship Group LOB teams in India and/or Philippines handling issues and escalations directly with business partners.
• Build expertise in the local recruiting markets, networking with other financial services firms and lines of business within the firm to ensure a robust pipeline of top talent is identified and kept warm.
• Lead tactical planning functions related to new transitions, changes to existing transitions and process improvement
• Participate in various Client Relationship Group LOB councils and working groups as necessary
• Display leadership/partnership skills with a strong working knowledge of the businesses in the WIM Client Relationship Group LOB and other WIM businesses
• 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.
• Implement a continuous improvement program to ensure processes and procedures remain current and appropriate.
• Benchmark with other operational teams and leverage industry best practices regarding tools and processes where possible and appropriate.
• 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.

• 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.

• Provide leadership to all aligned teams to improve processes, implement controls, manage resources, and execute on the WIM Client Relationship Group strategic plan
• Collaborate with senior leaders and provide input to establish the strategic direction for business initiatives.
• 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
• Ensure operational policies and procedures comply with regulatory compliance for all aligned capabilities.
• 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 global delivery strategic roadmap.
• 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 and implement a continuous improvement program to ensure processes and procedures remain current and appropriate
• Develop and leverage data-based insights and analytics to deliver results and drive continuous improvement
• Manage allocation of people and financial resources for Client Relationship Group

• 15+ years of experience in Investment Management, Investment Research, Analytics and Strategy, Financial Services, Business Execution, Strategic Planning, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 10+ years of Management experience

• Expertise in Wealth Management, Retail Brokerage or Financial Services Industry. includes advance-level knowledge of wealth management and brokerage tools, products, compliance and supervisory structures and processes
• 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
• Demonstrated ability to contribute to companywide strategy and to use strategy to drive results
• Demonstrates a high degree of reliability, integrity, and trustworthiness in all areas
• A seasoned, relationship-driven executive who will have the style and sensitivity to work within a highly complex business environment. Multi-cultural sensitivity a must.
• Exhibits excellent problem solving and analytical skills
• Experienced in process improvement and quality frameworks
• Excellent 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
• Flexible to work the night shift schedule
• Willing to work onsite full tim
• Higher level degree in Business, Accounting, or Finance (highest level related to B.Com, M.Com, MBA or CA)
• Active Series 7, 9/10 and/or 24 FINRA licenses highly preferred