Supervisory Control Specialist
Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network (FiNet) within the Branch Infrastructure and Operations group as part of Wealth & Investment Management. In this role, you will :
- Participate and consult regarding policies and procedures, controls, tools and training
- Identify opportunities for additional synergies and to maximize efficiencies within Wells Fargo Advisors Financial Network
- 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, Client Associates, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units
Required Qualifications :
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, educationUS Only : Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 9 / 10 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registrationDesired Qualifications :
Conflict management and decision-making skillsIntermediate Microsoft Office skillsStrong negotiation skillsExcellent verbal, written, and interpersonal communication skillsAbility to interact with all levels of branch associates and business unitsStrong attention to detail and accuracy skillsStrong time management skillsStrong research and documentation skillsAbility to work independently while balancing the needs of multiple projectsAbility to gather, organize, and interpret dataFINRA registration including Series 66 (or FINRA recognized equivalents)Job Expectations :
US Only : Registration for FINRA Series 66 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 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.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 subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire.This position is not eligible for Visa sponsorship.Job Locations :
2801 Market St. F & L Bldg. Saint Louis, MO1525 W W T Harris Blvd Charlotte, NC550 S Tryon St. Charlotte, NCWe Value Equal Opportunity
Wells Fargo is an equal opportunity employer. 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.
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 commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements :
Third-Party recordings are prohibited unless authorized by Wells Fargo.Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.Req Number : R-507288