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Qualified Supervisor Marketing and Advertising Review

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.

About this role:

Wells Fargo is seeking a Qualified Supervisor to join our Marketing and Advertising Review team within our Client Relationship Group in Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.


In this role, you will:

  • Lead or participate in risk management, including supervisory risk and human capital risk within Client Relationship Group Financial Network (FINET) Marketing and Advertising Review Group

  • Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Marketing and Advertising pieces.

  • Be empowered to be a decision maker and be a problem solver

  • Work with Financial Advisors and Practices with broad and different goals for their Marketing and Advertising of their practice

  • Lead or participate in complex initiatives to implement controls and mitigate risks

  • Lead as the primary escalation point for risk, supervisory, and human capital matters regarding Financial Advisors and practices Marketing and Advertising approvals

  • Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Marketing and Advertising initiatives

  • Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures

  • Provide feedback and contribute to a growing team

  • Partner with supervision, legal, compliance, and others as needed


Required Qualifications:

  • 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage 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, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration


Desired Qualifications:

  • Ability to negotiate, influence, and collaborate to build successful relationships

  • Ability to exercise independent judgment and creative problem solving techniques

  • Excellent verbal, written, and interpersonal communication skills

  • Experience in Marketing & Advertising review for a Broker/Dealer and Registered Investment Advisor (RIA)

  • Knowledge and understanding of Regulatory Regulations for Marketing and Advertising

  • Knowledge and understanding of the Independent Advisor business space


Job Expectations:

  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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 criminal background standards. Wells Fargo will initiate the FINRA licensing 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 is required

  • Registration for FINRA Series 65 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

Job Posting Locations:

  • 114 N. Beaumont St - D Bldg – St. Louis, MO

  • 1525 W W T Harris Blvd  - Charlotte, N

  • 299 S Main St  - Salt Lake City, UT

  • 1150 W Washington St - Tempe, AZ

  • 90 S 7th St – Minneapolis, MN

  • 801 Walnut St. - Des Moines, IA

  • 150 Fayetteville St - Raleigh, NC

  • 8601 N Scottsdale Rd - Scottsdale, AZ

  • 150 Fayetteville St - Raleigh, NC

  • Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered. Relocation assistance is not available for this position.

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, 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.


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