FiNet Home Office Supervisor

Wells Fargo-posted 4 months ago
Full-time
Fort Wayne, IN
1,001-5,000 employees
Credit Intermediation and Related Activities
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Wells Fargo is seeking a Financial Network (FiNet) Home Office Supervisor to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of Wells Fargo Advisors Financial Network (WFAFN) practices as the Qualified Supervisor (QS). You will ensure that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The FiNet Home Office Supervisor understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with the business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business as needed in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors, Wells Fargo Advisors Financial Network (WFAFN) and associated Brokerage locations.

  • Act as a location Financial Industry Regulatory Authority (FINRA) Qualified Supervisor for one or multiple WFAFN affiliated practices.
  • Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations, including regular onsite visits.
  • Supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws.
  • Recommend, implement and monitor policies and procedures.
  • Provide regular reporting to Governance and WFAFN Leadership, to ensure that the activity complies with all regulatory and firm policies.
  • Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training.
  • Monitor sales review activities and conduct supervisory outreach calls to clients.
  • Develop and implement training plans within WFAFN to meet business objectives.
  • Maintain regular engagement with risk and business partners, serving as the primary liaison for key initiatives involving Wealth, Compliance, Risk, regional Governance leadership, and other home office departments.
  • 5+ 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.
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 and 65 (or 66) (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
  • Experience partnering with business, compliance and operational 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 lead projects/initiatives with high risk and complexity.
  • Ability to manage multiple and competing priorities.
  • 5+ years of financial services industry experience.
  • Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.
  • Experience supporting independent Advisors and their practices.
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