About this role:
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, Alternative Investment products, trading after date of death reviews, hypothetical reports, collateralized banking products, advisory terminations, investment objective trending, and Regulation Best Interest (Reg BI) standards
- Identify opportunities for additional synergies and to maximize efficiencies within the Client Relationship 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 and Governance Managers, Supervision Managers, and varying Business Units and channels
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- 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
- US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 or (63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Knowledge and understanding of Alternative Investments products
- Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
- Ability to identify creative solutions to support service quality initiatives
- Ability to be flexible and adjust plans quickly to meet changing business needs
- Proficient understanding of Microsoft Office Suites including Excel functions
- Strong time management skills with an ability to work in a fast-paced deadline driven environment
- Ability to work independently, make decisions, and instruct others
- Ability to work independently while balancing the needs of multiple projects
- 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 other business units
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- US Only: Registration for FINRA Series 9/10 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.
- US Only: 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 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:
- 2801 Market St., St. Louis, MO 63103
- 550 S Tryon St. Charlotte, NC 28202
- 550 S 4th St. Minneapolis, MN 55415
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.
$63,600.00 - $113,000.00
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
14 Dec 2024
* 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.