Senior Supervisory Control Specialist

Wells Fargo•St. Louis, MO

1d•$87,000 - $154,000

About The Position

About this role: Wells Fargo is seeking a Senior Supervisory Control Specialist to join our team within Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about the career areas and lines of business at www.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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
US Only: State Insurance License must be completed within a 90-180 day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance
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.
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.
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

Conflict management and decision-making skills
Strong negotiation skills
Intermediate Microsoft Office (Word, Excel, and Outlook) skills
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of branch associates and business units
Strong attention to detail and accuracy skills
Strong time management skills
Strong research and documentation skills
Ability to work independently while balancing the needs of multiple projects
Ability to gather, organize, and interpret data

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