Supervisory Control Manager

Wells Fargo Bank•Nashville, TN

13d

About The Position

Wells Fargo is seeking a Supervisory Control Manager to join the Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. The role is responsible for day-to-day administrative functioning of branch offices within the Market, including supervisory oversight of Registered and Unregistered Associates. The manager partners with Market Leadership, Operations, Risk, Compliance, and Sales teams to ensure firm and regulatory requirements are met. The position also recruits, trains, and manages assigned direct reports; oversees completion of supervisory reviews and tasks; handles escalations and inquiries; and explains and reinforces policies and procedures. The role requires travel up to 25% of the time and may require working from the assigned office location for at least one year from hire. Relocation assistance is not available. This position is not eligible for visa sponsorship.

Requirements

At least 5 years of experience in Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage, or equivalent experience demonstrated through work experience, training, military experience, or education.
At least 2 years of leadership experience.
For U.S. applicants: Successfully completed FINRA Series 7, 9/10 (or 24 where applicable), and 63, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration. The posting further specifies that Series 9/10 are the only principal licenses required and Series 24 is not required for this position.
Ability to travel up to 25% of the time.
Obtain and/or maintain appropriate FINRA licenses for ongoing employment; comply with state law registration and licensing requirements and any applicable product or SAFE licensing requirements.
Meet enhanced financial fitness and criminal background standards and successfully pass required FINRA background screening prior to hire; comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Meet applicable FINRA supervisory license requirements; a supervisory license may require working in the assigned office location for at least one year from the hire date.
Provide information to Wells Fargo’s Personal Account Dealing Team and comply with applicable policies if subject to requirements concerning outside activities or personal investing.
Not be subject to statutory disqualification from association with a FINRA-registered broker-dealer.

Nice To Haves

Strong client service skills.
Strong attention to detail and accuracy.
Effective organizational, multitasking, and prioritizing skills.
Strong verbal, written, and interpersonal communication skills.
Ability to provide leadership to a financial services team.
Ability to process complex transactions and conduct extensive research to resolve complex customer issues.

Responsibilities

Oversee day-to-day administrative functioning of branch offices within the Market, including supervision of Registered and Unregistered Associates.
Partner with Market Leadership, Operations, Risk, Compliance, and Sales teams to ensure firm and regulatory requirements are met.
Recruit, train, and manage assigned direct-report personnel.
Ensure direct reports complete daily, weekly, monthly, and quarterly supervisory reviews and tasks across one or more Markets.
Ensure findings from supervisory reviews are reported for review, escalation when necessary, and final resolution.
Serve as a liaison for home-office escalations, inquiries, and initiatives.
Serve as a liaison and escalation point for other support areas.
Explain policies and procedures to branch employees and ensure adherence.
Execute applicable risk programs, follow Wells Fargo policies and procedures, fulfill risk and compliance obligations, and timely escalate and remediate issues.
Proactively monitor, identify, and escalate risks, and make sound risk decisions in line with the business unit’s risk appetite and applicable requirements.