Wells Fargo is seeking a Supervisory Control Specialist within the Ad Hoc team of Wells Fargo Advisors Centralized Supervision as part of Wealth & Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:
- Participate and consult regarding policies and procedures, controls, tools and training
- Conduct specialized reviews that are outside the supervision alert system. This includes, but is not limited to, margin review, collateralized banking products, advisory terminations, investment objective trending, some email review and Regulation Best Interest standards
- Identify opportunities for additional synergies and to maximize efficiencies within the private client group
- Review and analyze controls to manage high risk investment strategies and complex products
- Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
- Present recommendations for resolving complex analysis in search of current and best practices
- Gather and analyze data, identify trends and present analysis through meaningful statistics
- Develop expertise in firm, compliance and regulatory policies and procedures
- Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units and channels
- 2+ years of Supervisory Control, Corporate Insurance Risk, 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 FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
- Conflict management and decision-making skills
- Intermediate Microsoft Office skills
- Strong negotiation skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with all levels of branch associates and business units
- Strong attention to detail and accuracy skills
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Strong time management skills
- Strong research and documentation skills
- Ability to work independently while balancing the needs of multiple projects
- Ability to gather, organize, and interpret data
- Ability to travel up to 25 percent of the time
- Registration for FINRA Series 9/10 and 66 (or 63/65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
- 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.
- This position is not eligible for Visa sponsorship.
- 114 N Beaumont St Bldg D St. Louis, Missouri
- 401 S Tryon St Charlotte, North Carolina
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, age, 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.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.