Senior Supervisory Control Specialist

Wells Fargo•St. Louis, MO

4d•$87,000 - $154,000

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 (WIM). 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 wellsfargojobs.com. In this role, you will: Lead or participate in risk management, including supervisory risk and human capital risk within the private client group Contribute to identify risks in the region and implement controls to mitigate risks Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches Lead or participate in complex initiatives to implement controls and mitigate risks Serve as an escalation point for risk, supervisory, and human capital matters Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership

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
Annuity Life & Health Insurance

Nice To Haves

4+ years of financial services industry experience
Knowledge and understanding of Annuity and Insurance products
Knowledge and understanding of Alternative Investments products
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

Lead or participate in risk management, including supervisory risk and human capital risk within the private client group
Contribute to identify risks in the region and implement controls to mitigate risks
Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches
Lead or participate in complex initiatives to implement controls and mitigate risks
Serve as an escalation point for risk, supervisory, and human capital matters
Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region
Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks
Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership