JOHN A. MONTAGUE IV
Fairport,NY
Summary
Experienced financial services professional with excellent problem-solving skills and a focus on efficiency and risk mitigation. Detail oriented with strong ability to manage multiple projects, systems, and staff in a fast-paced environment. Strong advocate for other team members and champion of diversity and inclusion.
Overview
8
8
years of professional experience
1
1
Certification
Work History
BRANCH SUPPORT MANAGER
Wells Fargo Advisors, Northeast 4 Support Center
2022.07 - Current
- Primary Qualified Supervisor and point of contact for complex operational items
- Provide oversight for 80+ registered and non-registered client associates
- Driver of consistency and quality of work
- Leader of service professionals fostering strong relationships and collaboration
- Principal coach and trainer for client associate group delivering support as needed
- Promoter of employee recognition throughout the market
- Source, interview, and on-board qualified client associates from candidate to hire
- Conduct performance appraisals both in person and virtually
- Conduct interviews with candidates and facilitate the hiring and onboarding process
- Host of a monthly market wide call delivering updates and content to the field
- Host and content creator for weekly training call for new hires delivering best practice content & support
- Collaborate with internal audit teams to ensure adherence with all policies
- Responsible for attending national/divisional calls implementing firm initiatives and spreading message to regional branches
- Make quarterly branch visits to maintain relationships and provide further support
SUPERVISORY CONTROL OFFICER
Wells Fargo Advisors, Northeast 4 Support Center
2019.11 - 2022.07
- Oversight for all branch related business
- Work closely with financial advisors, branch/market leadership and supervisory principals
- Exercise independent judgement looking for trends, and patterns in sales activities and proper documentation of client interactions
- Perform stress tests on financial advisor's book of business
- Perform account suitability reviews adding notes to supervision system, removing accounts from advisory platform where necessary
- Work closely with internal audit teams writing action plans for improvement where necessary
- Review and approve outside business activities
- Evaluate marketing or client event related materials for compliance
- Strong ability to learn and utilize a variety of reporting tools and systems
COMPLEX OPERATIONS LIAISON
Wells Fargo Advisors, Western New York Complex
2016.05 - 2019.11
- Qualified Supervisor for the client associate group
- Work closely with staff and senior management
- Responsible for review/approval of time sensitive asset movement service requests
- Conduct client verification calls as required for domestic and international fed wires
- Perform stress tests on financial advisors' book of business identifying areas of risk
- Interpret policies and disseminate updates to the field
- Facilitate biweekly staff meetings for regional complex associates
***
References Available Upon Request
Education
MBA, Master of Business Administration -
State University of New York
Oswego, NY05.2024
Bachelor of Science - Business Administration, Economics
State University of New York
Oswego, NY05.2003
Skills
- Team oriented
- Servant leader
- Strong organizational skills
- Self-starter and motivator
- Advocate for others
- Coach and Mentor
- Embraces candor
- Works well independently as well as with others
- Champion of diversity and inclusion
Certification
Series 7, 66, 9/10, 24 and 55
Life Accident and Health with Variable Line
Timeline
BRANCH SUPPORT MANAGER
Wells Fargo Advisors, Northeast 4 Support Center
2022.07 - Current
SUPERVISORY CONTROL OFFICER
Wells Fargo Advisors, Northeast 4 Support Center
2019.11 - 2022.07
COMPLEX OPERATIONS LIAISON
Wells Fargo Advisors, Western New York Complex
2016.05 - 2019.11
***
References Available Upon Request
MBA, Master of Business Administration -
State University of New York
Bachelor of Science - Business Administration, Economics
State University of New York
Series 7, 66, 9/10, 24 and 55
Life Accident and Health with Variable Line
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