About this role:
Wells Fargo is seeking a Senior Supervisory Control Specialist who will be a part of our CRG Centralized Review Team. You will be a key partner to Financial Advisors and act as the Qualified Supervisor reviewer of FA submitted customized and consolidated reporting items and carry out the firm and regulatory responsibilities that are associated with these reports.
In this role you will:
- Serve as the Qualified Supervisor for reviewing and approving FA generated Custom and Consolidated Reports along with reviewing any additional documentation material to support the Custom/Consolidated report.
- Utilize firm systems and tools in support of the Custom and Consolidated Report review.
- Collaborate with the Divisional Governance team members to ensure a consistent and efficient execution of Compliance and Risk policies and procedures relating to Custom and Consolidated report review.
- Collaborate with supervision, legal, compliance, risk, WIM Centers of Excellence and leadership to identify risks and recommend solutions.
- Review and identify risks and trends and recommend and implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures.
- Assist in developing reporting related to trends in Custom and Consolidated report submissions.
- Identify training needs based on analysis as well as create and deliver training on an ongoing basis for field personnel as well as new hire team members.
- Assist in maintaining Operating Policy & Procedure documentation for Custom and Consolidated Report Review.
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- 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
- US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Financial services compliance experience
- Strong analytical skills with high attention to detail and accuracy
- Knowledge and understanding of Support Center model
- Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA rules
- Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business
- Strong client service skills
- Strong verbal, written, and interpersonal communication skills
- Leadership skills
- Ability to interact with all levels of branch associates and business units; including managers and advisors
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- US Only: 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 role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
This position is not eligible for Visa sponsorship.
Job Location:
- 125 High St Boston, MA
- 1021 E Cary St. Richmond, VA
- 120 N Pointe Blvd Lancaster, PA
- 13715 Conlan Cir Charlotte, NC
- 550 S 4th St Minneapolis, MN
Pay Range:
Boston, MA - $87,700.00 - $155,900.00 USD Annual Salary range is determined by location of the job
Richmond, VA - $73,100 - $129,900.00 USD AnnualSalary range is determined by location of the job
Lancaster, PA - $73,100 - $129,900.00 USD Annual Salary range is determined by location of the job
Charlotte, NC - $73,100 - $129,900.00 USD Annual Salary range is determined by location of the job
Minneapolis, MN - $73,100 - $129,900.00 USD Annual Salary range is determined by location of the job
This role will be responsible for review and approval of ad hoc custom and custom consolidated reports, working closely with the divisional governance teams, compliance, and legal to ensure adherence to firm policy.
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$73,100.00 - $155,900.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
23 Jan 2025
* Job posting may come down early due to volume of applicants.
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, status as a protected veteran, or any other legally protected characteristic.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.