FiNet Governance Senior Supervisory Specialist

Wells Fargo • St. Louis, MO

2d

About The Position

About this role: Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of practices within the Financial Network (FiNet). You will ensure the firms’ requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with 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 FiNet Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at wellsfargojobs.com. In this role, you will: Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations Partner with peers and practices to support growth Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws and serve as a primary point of contact, a resource and point of escalation for the practices you supervise Implement and monitor policies and procedures, conduct practice reviews Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies Make decisions and resolve issues regarding compliance, supervision policies, disciplinary actions and training Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments

Requirements

• 4+ 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
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

• 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
• 4+ years of financial services industry experience
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
• Partner with peers and practices to support growth
• Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws and serve as a primary point of contact, a resource and point of escalation for the practices you supervise
• Implement and monitor policies and procedures, conduct practice reviews
• Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
• Make decisions and resolve issues regarding compliance, supervision policies, disciplinary actions and training
• Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed