Wells Fargo Senior Brokerage Relationship Manager – 

United States, Missouri, Saint Louis 

54749242

About this role:

First Clearing provides services to independently-owned and licensed broker dealers and investment advisors. The primary services provided are transaction processing (trading and settlement), custody of securities and funds, and generation of client trade confirmations and monthly statements. They also can include a variety of other offerings including technology tools, supervisory tools, reporting tools, practice management support and FA recruiting assistance. First Clearing also makes available, to these broker dealers and investment advisers, WFA/WFCS products such as advisory programs, and margin and lending products

In this role, you will:

• Support implementation and maintenance of various order entry controls
• Focus on maintaining strong business controls, ensuring policies and procedures are appropriately documented and executed
• Represent the line of business for various regulatory and operational initiatives specific to First Clearing firms
• Draft client communications related to operational and/or regulatory changes
• Participate in audit activities
• Provide exceptional customer service, promptly responding to clients' emails and phone calls
• Lead complex initiatives for business development including those that are cross-functional with broad impact and act as key participant in large scale planning initiatives and growth opportunities
• Ensure client firm adherence with certain First Clearing policies
• Strategically collaborate and consult with First Clearing mid-level to senior managers, colleagues, stakeholders, and business leaders, including internal or external customers, to resolve issues and meet customer needs

​Required Qualifications:

• 4+ years of Business Relationship experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• ​4+ years of demonstrated experience managing the life cycle of a trade (specifically related to equity and fixed income transactions)
• 4+ years experience with order entry systems
• Understanding of Financial Information Exchange (FIX) protocol and experience in FIX connectivity testing
• Experience in risk consulting, with the ability to influence and partner with business executives, leadership, internal partners and peers
• Brokerage operations and/or regulatory compliance experience
• Strong interpersonal and communications skills, including a demonstrated ability to summarize and present complex information in a simple and easy format.
• Ability to work on multiple projects, adjusting priorities as needed to meet deadlines
• Demonstrated ability to listen, ask questions and comprehend new or complex matters
• Ability to proactively manage and mitigate issues
• Advanced skills, proficiency, and experience with Microsoft Excel, PowerPoint, Access and Word
• Series 7 license

Job Expectations:

• This position is not eligible for Visa sponsorship
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

• 2801 Market Street, F & L Building -Saint Louis, MO 63103
• Required location listed above. Relocation assistance is not available for this position.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 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.

14 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

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