Supervisory Control Specialist

Supervisory Control Specialist

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. This role serves as a Qualified Supervisor on a Central Governance Team. Primary responsibilities will include providing governance oversight for Financial Advisors managing high and ultra-high net worth client relationships and Global Pre-Clearance first-line approvals. Additional responsibilities may include supporting key functions such as FA Book Reassignments, Complaint Reviews, and Email Surveillance.

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training
• 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, Market Leaders, Growth Leaders, Branch 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, education
• US Only:
  Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired

Qualifications:

• 2+ years of financial services industry experience
• Experience in compliance or broker-dealer governance
• Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions
• Ability to exercise independent judgment to identify and resolve problems
• Ability to interact with all levels of employees and management across the organization and Independent Offices
• Excellent verbal, written, and interpersonal communication skills
• Negotiating, conflict-management, and decision-making skills
• Ability to take initiative, work independently, identify opportunities, and implement change
• Ability to manage multiple and competing priorities

Job Expectations:

• 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 subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

This position is not eligible for Visa sponsorship.

Job Location:

550 S Tryon St., Charlotte, NC 28202

5201 W Amelia Earhart Dr., Salt Lake City, UT 84116

550 S 4th St., Minneapolis, MN 55415

2801 Market St, F & L Bldg., Saint Louis, MO 63103

8601 N Scottsdale Rd., Scottsdale, AZ 85253

* Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered. Relocation assistance is not available for this position.

Pay Range:

Charlotte, NC - $77,000.00 - $ USD Annual
* Salary range is determined by location of the job

St. Louis, MO - $77,000.00 - $ USD Annual
* Salary range is determined by location of the job

Salt Lake City, UT - $77,000.00 - $ USD Annual
* Salary range is determined by location of the job

Scottsdale, AZ - $77,000.00 - $ USD Annual
* Salary range is determined by location of the job

Minneapolis, MN - $85,000.00 - $ USD…