Senior Supervisory Control Specialist

Wells Fargo•Newport Beach, CA

1d•$104,000 - $168,000•Onsite

About The Position

About this role: Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es). 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 Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at www.wellsfargojobs.com In this role, you will: Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws Implement and monitor policies and procedures 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, practices, hiring, disciplinary actions and training Monitor sales review activities, coordinate proper staff and coverage, and develop and implement training plans within CRG to meet business objectives 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 Manage allocation of people and financial resources for Supervisory Control

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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

4+ years of financial services industry experience
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
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
Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws
Implement and monitor policies and procedures
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, practices, hiring, disciplinary actions and training
Monitor sales review activities, coordinate proper staff and coverage, and develop and implement training plans within CRG to meet business objectives
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
Manage allocation of people and financial resources for Supervisory Control