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About this role:

Wells Fargo is seeking an Escalations Manager – Registered with FINRA Series 7 and 9/10 or 24. This leader will manage escalated customer complaints across the company, including high‑risk and high‑visibility matters requiring specialized handling. The role involves partnering with internal teams to determine effective resolutions that support customers while upholding strong relationships with stakeholders.

Enterprise Complaints is responsible for capturing, researching, and resolving customer concerns. We maintain enterprise-wide standards for complaint intake, operational risk, and quality reviews. We also provide reporting, analysis, and root‑cause insights that help drive improvements in the customer experience.

The Escalations Manager – Registered will lead a team responsible for complex Operational & Service escalations within Wealth & Investment Management (WIM), ensuring timely, accurate, and fair outcomes for clients and beneficiaries while maintaining rigorous quality, control, and risk standards.

In this role, you will:

• Manage and develop a team to handle complex customer service tasks and create initiatives and programs to support Escalations business goals and objectives
• Engage internal partners associated with the Escalations functional area
• Identify and recommend opportunities for process improvement, service standards, and goals within the Escalations functional area
• Make decisions and resolve issues regarding internal and external client complaints
• Interpret and develop Escalations policies and procedures to ensure quality and that service standards meet business objectives
• Collaborate with Escalations team and first-line supervisors
• Interact directly with internal and external customers to resolve their inquiries and complaints
• Manage allocation of people and financial resources for aligned functional area or business group
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Customer or Investor-facing, Disputes, Claims, or Fraud Resolution experience in the Financial Services or Credit Card industry, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 2+ years of leadership experience
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 4+ 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
• 3+ Brokerage operations experience
• 4+ 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
• Demonstrated experience coaching, developing, and empowering teams to strengthen performance, elevate service quality, and support long‑term career growth
• Proven ability to lead effective coaching conversations, provide actionable feedback, and build development plans that align with business objectives
• Experience preparing and delivering clear, persuasive presentations to director-level and Senior leadership audiences, including communicating trends, risks, and recommendations
• Strong ability to translate complex escalations data and complaint patterns into concise, executive-ready insights
• Exceptional time‑management skills with the ability to balance high-volume case oversight, leadership responsibilities, and competing priorities
• Track record of managing multiple deadlines while maintaining accuracy, quality, and compliance standards
• Ability to create structured workflows, organize large caseloads, and drive timely resolution of escalated matters

Job Expectations:

• This is a hybrid, in‑office position, currently requiring one week on‑site followed by one week remote.
• Relocation assistance is not available for this position
• Visa sponsorship is not available for this position
• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 (or 24) examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and

Job Location:

• 145743-MO-D Building, St Louis Campus

**Required location(s) listed above. **Relocation assistance is not available for this position.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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 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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

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

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.