Supervisory Control Associate

Wells Fargo•Saint Louis, MO

57d•$68,000 - $114,000

About The Position

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com In this role, you will: Provide support to WFA Supervisory Control Specialists as needed Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues Conduct certain client account approvals Participate or conduct compliance, supervision, control reviews, administration, and technology Design risk processes and provide project management support Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups Assist with oversight of branch risk management Perform basic or tactical ongoing regulatory, compliance and operational reviews 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 and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed. Complete other duties as assigned by the Supervision Manager

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, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
Solid conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Ability to work independently while balancing the needs of multiple projects
Ability to be flexible and adjust plans quickly to meet changing business needs
Intermediate Microsoft Office (Word, Excel, and Outlook) skills
Ability to exercise independent judgment and creative problem solving techniques
Ability to interact with all levels of branch associates and business units; including managers and advisors
FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

Responsibilities

Provide support to WFA Supervisory Control Specialists as needed
Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues
Conduct certain client account approvals
Participate or conduct compliance, supervision, control reviews, administration, and technology
Design risk processes and provide project management support
Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
Assist with oversight of branch risk management
Perform basic or tactical ongoing regulatory, compliance and operational reviews 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 and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed.
Complete other duties as assigned by the Supervision Manager