Supervisory Control Manager

Wells Fargo•San Diego, CA

2d•$110,000 - $196,000•Onsite

About The Position

About this role: Wells Fargo is seeking a Supervisory Control Manager to join our Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com. In this role you will: Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution Act as a liaison contact for home office escalations, inquiries, and initiatives Serve as a liaison and escalation point for all other support areas Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures

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
2+ years of leadership experience
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Ability to travel up to 25% of the time
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.
Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
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.
Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
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.

Nice To Haves

Strong client service skills
Strong attention to detail and accuracy skills
Effective organizational, multi-tasking, 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 perform extensive research to resolve complex customer issues

Responsibilities

Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market
Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met
Recruit, train and manage direct report personnel as assigned.
Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution
Act as a liaison contact for home office escalations, inquiries, and initiatives
Serve as a liaison and escalation point for all other support areas
Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures