Senior Supervisory Control Specialist

Wells Fargo & Company • Bee Cave, TX

3d • Onsite

About The Position

Wells Fargo is seeking a Senior Supervisory Control Specialist to join their Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es), ensuring adherence to regulatory, compliance, and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs, and customer service requirements involved in managing this process. They will work with business partners and the field to navigate firm solutions, provide resolutions for clients, and mitigate risk. The role requires acting with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, the specialist will partner with Compliance, Legal, and the Line of Business to address concerns and issues related to Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations.

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
• 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.
• Specific product licenses or SAFE licensing may apply.
• Meeting enhanced financial fitness and criminal background standards.
• Successful completion and passing of a background check prior to hire.
• Meeting and complying with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• 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.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required

Nice To Haves

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

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees