Senior Supervisory Control Specialist

Wells Fargo & Company•Charlotte, NC

About The Position

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Promotional and Marketing Review team within our Client Relationship Group in Wealth and Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com In this role, you 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 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

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 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