EO WIM Case Advisor 2

Company: Wells Fargo Bank
Location: Saint Louis
Posted on: February 16, 2020

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.? In order to receive text message invitations, your profile must include a mobile phone number designated as ?Personal Cell? or ?Cellular? in the contact information of your application.At Wells Fargo, we want to satisfy our customers? financial needs and help them succeed financially. We?re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you?ll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.The Enterprise Customer Excellence Group (ECEG) brings together customer-focused functions from across the enterprise to provide a holistic approach to critical points of interaction with Wells Fargo customers. The group, which includes the Enterprise Complaints Management Office, the Customer Remediation Center of Excellence and Net Promoter System, is responsible for understanding the causes of issues that affect customers, and providing solutions that ensure customers? needs are understood and supported. The group is also accountable for ensuring regulators? expectations are met and that team members have the tools and training necessary for success.The Case Advisor 2 is responsible for:? Resolving incoming written and verbal client complaints regarding broker-dealer sales practice issues by gathering relevant information, documentation, and contacting appropriate parties.? Analyzing gathered facts to reach a conclusion for the matter.? Drafting appropriate U4/U5 Amendment disclosure language, when necessary.? Negotiating resolutions with customers.? Maintaining detailed and thorough documentation and files surrounding the investigation of customer complaints.? Inputting complaint/disclosure information into the firm system of record to comply with Rule 4530 quarterly and/or required disclosure event filings.? Maintaining working knowledge of current FINRA and state regulatory issues as well as the firm's written supervisory procedures.? Working with assigned business units and other investigative groups within the firm.? Consulting with the business to develop corrective action plans, and assists the business as needed with effective change management to ensure regulatory compliance.? Ensuring WFA compliance with federal, state, legal, regulatory and enterprise policy requirements.Responsibilities also include:? Researching customer complaints? Responding either verbally or in writing, as necessary, to resolve non-sales customer complaints? Performing necessary tasks to prepare for enterprise and regulatory filings? Working as a liaison between the field and the back office to complete activities on behalf of the client? Negotiate and facilitate financial settlements as applicable? Identify risk and prioritize workflow accordingly? Responsible for time critical case assignmentsPlease note this role requires a FINRA Series 7 to qualify for immediate registration or ability to obtain within a 90 time period if not immediately available to transfer upon hire. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.

Required Qualifications

• 7+ years of experience in one or a combination of the following: customer contact or customer service in financial services, administrative support, underwriting, quality assurance, brokerage operations, client account supervision, risk, or compliance
  
  Desired Qualifications
  
  • A 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
  • A Masters of Business Administration (MBA) or Juris Doctor (JD)
  • Brokerage industry experience
  • Strong analytical skills with high attention to detail and accuracy
  • Strong organizational, multi-tasking, and prioritizing skills
  • Advanced Microsoft Office skills
  • Ability to manage to production goals, deadlines, and various metrics
  • Excellent verbal, written, and interpersonal communication skills
  • Experience delivering results in a fast-paced, deadline driven environment
  • Solid negotiation skills
  • Ability to interact with all levels of an organization
  • Ability to meet or exceed business goals and objectives, while fostering a team atmosphere
  • Experience resolving and working through escalated and complex customer issues
  • Customer service focus with the ability to analyze, research, and respond to moderately complex customer or agency issues and complaints
    
    Other Desired Qualifications
    
    • Working knowledge of the following systems: BETA, SmartStation, CIV, Agent Desktop, DisputeMAX and/or Image Access
    • Ability to influence across all organizational levels, including senior management
    • Prior complaint resolution experience
      
      Job Expectations
      
      • Successfully completed FINRA SIE and Series 7 to qualify for immediate registration or ability to obtain within a 90 time period if not immediately available to transfer upon hire
      • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.
        
        Street Address
        MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
        
        
        Disclaimer
        
        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.
        

Keywords: Wells Fargo Bank, St. Louis , EO WIM Case Advisor 2, Other , Saint Louis, Missouri