Senior Supervisory Control Specialist

Wells Fargo•Tampa, FL

3d•Onsite

About The Position

Wells Fargo is seeking a Senior Supervisory Control Specialist for its Client Relationship Group within Wealth and Investment Management. The role provides supervisory oversight of practices within branches and ensures that firm supervision requirements adhere to regulatory, compliance, and legal requirements. The specialist works with business partners and field teams to find solutions for employees and clients while mitigating risk, and partners with Compliance, Legal, and the line of business on concerns involving WFCS Financial Advisors and associated brokerage locations. The position includes supervising representatives’ activities, monitoring compliance with internal policies and applicable laws and regulations, implementing procedures, reporting to governance and business leadership, and resolving compliance and supervision matters. It also involves coordinating sales review coverage and training, leading partnerships and initiatives across the organization, and managing people and financial resources for Supervisory Control. The role is based at 4030 W Boy Scout Blvd, Tampa, Florida. Travel may be required up to 35% of the time. A FINRA supervisory license is required, and the position may require working at the assigned office location for at least one year from the hire date. Series 9/10 are the only principal licenses required; Series 24 is not required. The position is subject to FINRA background screening and ongoing regulatory obligations, is not eligible for visa sponsorship, and may be subject to policies governing outside activities and personal investing.

Requirements

At least 4 years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education.
Successfully completed FINRA Series 7, 9/10 (or Series 24 where applicable), and 63, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
FINRA supervisory license required for the role; Series 9/10 are the only principal licenses required for this position, and Series 24 is not required.
Obtain and/or maintain appropriate FINRA licenses for ongoing employment and comply with state law registration and licensing requirements; specific product licenses or SAFE licensing may apply.
Meet enhanced financial fitness and criminal background standards and successfully pass a background check prior to hire.
Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Comply with applicable policies regarding outside activities and/or personal investing, including providing information to the Wells Fargo Personal Account Dealing Team if applicable.
No visa sponsorship is available for this position.

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 or initiatives with high risk and complexity.
Ability to manage multiple and competing priorities.
At least 4 years of financial services industry experience.
Experience in branch office supervision, compliance, broker-dealer governance, or sales supervision.

Responsibilities

Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws, and regulations.
Supervise representatives, such as financial advisors, to ensure 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 activity complies with regulatory and firm policies.
Make decisions and resolve issues regarding compliance and supervision policies and practices, hiring, disciplinary actions, and training.
Monitor sales review activities, coordinate staffing and coverage, and develop and implement training plans within CRG to meet business objectives.
Meet regularly with risk and business partners and serve as a primary business contact on key initiatives involving Wealth, Compliance, Risk, regional management, and other home office departments.
Manage allocation of people and financial resources for Supervisory Control.
Partner with Compliance, Legal, the line of business, and other business partners to address concerns and issues related to WFCS Financial Advisors and associated brokerage locations.
Travel up to 35% of the time, as may be expected.