Quality Monitor 3 - Brokerage Services-ICC Division - #8483512

Wells Fargo


Date: Dec 7, 2021
City: Salt Lake City, UT
Contract type: Full time
Wells Fargo
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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.


Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.


Wealth & Investment Management, or WIM, is one of the United States’ leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients’ unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by:


o Building enduring client relationships through sound, thoughtful, and objective advice

o Developing individualized plans for clients to help meet their financial objectives

o Helping clients build, manage, preserve, and transition their financial resources and wealth


WIM serves clients through the following businesses:


o Wells Fargo Private Bank serves high-net-worth individuals and families.

o Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.

o Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.


Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.


The Investment Contact Center (ICC) provides virtual service and support for Wealth & Investment Management (WIM) clients across its two brands. The Private Bank, and Wells Fargo Advisors (WFA) — as well as to plan sponsors and participants of Institutional Retirement and Trust, and affluent customers of Wells Fargo Bank. With more than 1,000 team members located in five regions, the ICC consists of three client-facing groups (Brokerage Services; High Net Worth, Affluent, and Banking Services) and three support groups (Business Administration; Business Strategy, Initiatives, and Technology; and Operations). Our front-line employees manage millions of client interactions each year via phone, chat, email, and correspondence.



The primary responsibility of a Quality Monitor on the Investment Contact Center Quality Team is to evaluate inbound and outbound calls to ensure that all policies, procedures, and regulations are followed and that callers have a consistently positive experience when calling the Investment Contact Center.


Specific responsibilities include but is not limited to:

  • Monitor and evaluate calls and other communication methods
  • Escalate risk issues to address potential customer, employee, or firm impact
  • Communicate trends and recommend training and/or policy and procedure or other resources to address the trends


View the “Working at Wells Fargo – Investment Contact Center” video on YouTube to learn more about what it’s like to work in the ICC. Hear unique team member perspectives about career development, engagement opportunities, and client service — the foundation of our culture.


Copy and paste this video URL into a new browser tab to hear what our ICC employees are saying: youtu.be/qoX6zB6YZlM



Required Qualifications



  • 4+ years of customer service experience or 2+ years of experience in a call center environment and 2+ years of monitoring experience

  • Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)



Desired Qualifications



  • Experience delegating, coaching, training, and motivating

  • Basic knowledge and understanding of bank regulations/compliance, policies, process, and procedures

  • Excellent verbal, written, and interpersonal communication skills

  • Effective organizational, multi tasking, and prioritizing skills

  • Ability to be effective while working independently

  • A BS/BA degree or higher

  • Quality assurance experience

  • 1+ year of financial services experience

  • Brokerage industry experience

  • Basic Microsoft Office skills

  • Strong analytical skills with high attention to detail and accuracy

  • Strong collaboration and partnering skills



Other Desired Qualifications


  • Experience with ICC lines of business


Job Expectations



  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required



Street Address



UT-Salt Lake City:
5201 Amelia Earhart Dr - Salt Lake City, UT

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC

MN-Shoreview: 1801 Parkview Dr - Shoreview, MN

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