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Escalated Complaint Specialist - Registered

Company: Wells Fargo
Location: Saint Louis
Posted on: March 19, 2023

Job Description:

About this role: Wells Fargo is seeking an Escalations Specialist - Registered to managing escalated customer complaints associated with the Corporate and Investment Bank (CIB) and Wealth and Investment Management (WIM) businesses. In this role, you will:

  • Participate in researching and resolving escalated inquiries and regulated complaints with significant organizational impact for the Corporate and Investment Bank (CIB) and Wealth and Investment Management (WIM) and identify opportunities to determine appropriate course of action and conduct investigative steps to fully identify the issues within defined scope of responsibilities
  • Review and analyze inquiries and complaints that require special handling, research, and evaluation
  • Consult regarding difficult and complex transactions, and determine appropriate course of remedial action
  • Present recommendations for resolving escalated inquiries and complaints, and exercise some independent judgment while developing understanding of transaction quality or deficiencies, risks, and investigative steps to recommend solutions
  • Provide information to management committee members, agencies, or more experienced business leaders
  • Provide feedback to internal and external customers regarding identification of fraud and inconsistencies
    Required Qualifications, US:
    • 2+ years of Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
    • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications:
      • 2+ years of Financial Industry Experience, preferably supporting both large institutional clients and retail investors
      • Knowledge and understanding of regulatory compliance requirements surrounding SEC, FINRA, and international regulations for building technological solutions
      • Knowledge and understanding of financial products: exposure to fixed income securities, derivatives, and foreign exchange
      • Customer service focus with the ability to analyze, research, and respond to moderately complex customer or agency issues and complaints
      • Ability to develop partnerships and collaborate with other business and functional areas
      • Brokerage operations experience
      • Brokerage client support experience
      • Ability to identify customer needs and obstacles and take the necessary steps to problem solve
      • Strong analytical skills with high attention to detail and accuracy
      • Strong organizational, multi-tasking, and prioritizing skills Job Expectations:
        • This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
        • Must be able to report to the physical location according to the hybrid schedule
        • Must be able to work OT as required (including evenings and some Saturdays) 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.

Keywords: Wells Fargo, St. Louis , Escalated Complaint Specialist - Registered, Other , Saint Louis, Missouri

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