Supervisory Control Associate

Wells Fargo & Company•St. Louis, MO

About The Position

About this role: Wells Fargo is seeking a Supervisory Control Associate to join the Central Supervision Unit as part of Wealth & Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com. In this role, you will: Perform analysis of findings and trends using statistical analysis and document processes, including Retirement Asset Movement and electronic communications and as needed Perform basic or tactical ongoing regulatory, compliance and operational reviews related to recommendations and suitability for retirement accounts, moving assets as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies. Receive direction from management and exercise independent judgment while developing an understanding of sales, retirement asset movement of QRP to IRA rollovers, electronic communications and ad hoc activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies Identify and define business requirements and translate data and business needs into research and recommendations to improve operational efficiency, quality and compliance of sales, retirement assets, electronic communications and ad hoc activities Develop customized reports and ad hoc analyses to make recommendations and provide guidance Understand compliance and risk management requirements for supported area Ensure adherence to data management or data governance regulations and policies Participate in company initiatives or processes to assist in meeting risk and capital objectives and other strategic goals Participate in all group technology efforts including design and implementation of database structures, analytics software, storage, and processing Support off channel communications processes and address questions as needed for WIM Collaborate and consult with financial advisors, branch managers, supervisory principals as well as more experienced consultants and with partners in technology and other business groups

Requirements

6+ months 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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

Conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to interact with all levels of branch associates and business units
Ability to exercise independent judgment to identify and resolve problems
Strong attention to detail and accuracy skills
FINRA registration including Series 66 (or FINRA recognized equivalents)
FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Responsibilities

Perform analysis of findings and trends using statistical analysis and document processes, including Retirement Asset Movement and electronic communications and as needed
Perform basic or tactical ongoing regulatory, compliance and operational reviews related to recommendations and suitability for retirement accounts, moving assets as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.
Receive direction from management and exercise independent judgment while developing an understanding of sales, retirement asset movement of QRP to IRA rollovers, electronic communications and ad hoc activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Identify and define business requirements and translate data and business needs into research and recommendations to improve operational efficiency, quality and compliance of sales, retirement assets, electronic communications and ad hoc activities
Develop customized reports and ad hoc analyses to make recommendations and provide guidance
Understand compliance and risk management requirements for supported area
Ensure adherence to data management or data governance regulations and policies
Participate in company initiatives or processes to assist in meeting risk and capital objectives and other strategic goals
Participate in all group technology efforts including design and implementation of database structures, analytics software, storage, and processing
Support off channel communications processes and address questions as needed for WIM
Collaborate and consult with financial advisors, branch managers, supervisory principals as well as more experienced consultants and with partners in technology and other business groups