Supervisory Control Manager

Wells Fargo Bank•Seattle, WA

4d•Hybrid

About The Position

Wells Fargo is seeking a Supervisory Control Manager to join their Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. This role involves overseeing the day-to-day administrative functions of branch offices within a Market, including supervisory oversight of Registered and Unregistered Associates. The manager will collaborate with Market Leadership, Operations, Risk, Compliance, and Sales Teams to ensure adherence to firm and regulatory requirements. A key responsibility is recruiting, training, and managing direct report personnel, ensuring they complete daily, weekly, monthly, and quarterly supervisory reviews and tasks. Findings from these reviews must be reported for escalation and resolution. The role also serves as a liaison for home office escalations, inquiries, and initiatives, and explains policies and procedures to branch employees, ensuring compliance.

Requirements

5+ 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 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
This role requires a FINRA supervisory license
Candidates must successfully complete and pass a background check prior to hire.
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