Supervisory Control Associate - Wells Fargo Advisors

Supervisory Control Associate

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services (WBS) producing Branch Managers and Financial Advisors. Learn more about the career areas and lines of business at

In this role, you will:

• Provide support to WFA Supervisory Control Specialists as needed
• Conduct certain client account approvals
• Participate or conduct compliance, supervision, control reviews, administration and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution within Insurance or Private Client Groups
• Assist with oversight of branch risk management
• Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
• Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Required Qualifications:

• 6+ months 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 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 63 (or 66) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate registration

Desired

Qualifications:

• FINRA registration including Series 9/10 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• Excellent verbal, written, and interpersonal communication skills
• Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Strong attention to detail and accuracy skills
• Solid conflict management and decision making skills

Job Expectations:

• 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.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
• Registration for FINRA Series 9/10 and Series 65 or 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.

This position is not eligible for Visa sponsorship.

Posting Locations:

401 S Tryon St
- Charlotte, North Carolina

90 S 7th St
-…