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Senior Supervisory Control Specialist

About this role:

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. Wells Fargo is seeking a Senior Supervisory Control Specialist in the Client Relationships Group as part of Wealth & Investment Management.   Learn more about the career areas and lines of business at

In this role, you will:

  • Lead or participate in risk management, including supervisory risk and human capital risk within the private client group

  • Contribute to identify risks in the region and implement controls to mitigate risks

  • Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches

  • 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

  • Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region

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

  • Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks

  • Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership

Required Qualifications, US:

  • 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:

  • Conflict management and decision-making skills

  • Intermediate Microsoft Office skills

  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information

  • Strong negotiation skills

  • Excellent verbal, written, and interpersonal communication skills

  • Ability to interact with all levels of branch associates and business unit

  • Strong attention to detail and accuracy skills

  • FINRA registration including Series 66 (or FINRA recognized equivalents)

  • Bilingual speaking, reading, and writing proficiency in Spanish/English

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

  • This position is hybrid which will be 3 days in the office and 2 days remote work.

Job Location:

114 N Beaumont St. BLDG D, St. Louis, MO 63103

1525 W W T Harris Blvd, Charlotte, NC 28262

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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