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FiNet Qualified Supervisor

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 FiNet Qualified Supervisor to join our Branch Infrastructure and Operations group within 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

  • Administer direct supervision of regulated activities for Independent Contractor financial services offices

  • 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

  • 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, and branch 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 business risk management to identify region risks

  • Partner with supervision, legal, compliance, human resources, credit and risk


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:

  • Conflict management and decision making skills

  • Strong negotiation skills

  • Excellent verbal, written, and interpersonal communication skills

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

  • Strong organizational, multi-tasking and prioritizing skills

  • Strong attention to detail and accuracy skills

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

  • FINRA registration including Series 65 (or FINRA recognized equivalents)

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

  • 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, NC

  • 299 S Main St  - Salt Lake City, UT

  • 877 W Main St - Boise, ID

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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