Senior Supervisory Control Specialist

Wells Fargo & Company•St. Louis, MO

1d•Onsite

About The Position

Wells Fargo is seeking a Senior Supervisory Control Specialist to join their Centralized Promotional and Marketing Review team within their Client Relationship Group in Wealth and Investment Management. In this role, the specialist will serve as the Qualified Supervisor to review Promotional and Marketing materials, lead or participate in risk management (including supervisory risk and human capital risk), and partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their materials. They will also provide ongoing education, manage and prioritize requests, lead complex initiatives to implement controls, and act as the primary escalation point for risk, supervisory, and human capital matters. Collaboration with supervision, legal, compliance, and other areas is expected to advocate for Financial Advisors/Practices on their Promotional and Marketing initiatives, while implementing controls to mitigate risks and contributing feedback to a growing team.

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
US only: 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.
In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply.
Additional requirements include meeting enhanced financial fitness and criminal background standards.
Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
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.
Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
This position is subject to FINRA background screening requirements.
Candidates must successfully complete and pass a background check prior to hire.
In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
This position is not eligible for Visa sponsorship.

Nice To Haves

4+ years of Marketing review experience a plus
Experience facilitating and delivering education or other related facilitation experience such as group meetings or presentations
Ability to exercise independent judgment and creative problem-solving techniques
Ability to communicate accurately and be able to provide a clear and concise written response
Working knowledge and understanding of Smart Station, InfoMax, Adtrax, Salesforce
Ability to negotiate, influence, and collaborate to build successful relationships
Ability to interact with all levels of branch associates and business units; including managers and advisors
Ability to work effectively in a structured but flexible, adaptable, and changing dynamic and complex environment
Strong time management skills and ability to meet deadlines
FINRA registration including Series 24 (or FINRA recognized equivalents)

Responsibilities

Serve as the Qualified Supervisor to review Promotional and Marketing materials
Lead or participate in risk management, including supervisory risk and human capital risk within the Client Relationship Group Promotional and Marketing Review Group
Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces
Provide ongoing education related to the content and review process for promotional and marketing materials
Partner with Financial Advisors and Practices with broad and different goals for their Promotion and Marketing of their practice
Responsible for managing and prioritizing requests submitted to the queue
Lead or participate in complex initiatives to implement controls and mitigate risks
Lead as the primary escalation point for risk, supervisory, and human capital matters regarding Financial Advisors and practices Promotional and Marketing approvals
Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Promotional and Marketing initiatives
Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
Provide feedback and contribute to a growing team