Supervisory Control Manager

Wells Fargo & Company•Nashville, TN

13d

About The Position

Wells Fargo is seeking a Supervisory Control Manager to join its Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. This role is responsible for the day-to-day administrative functioning of branch offices within the Market, including supervisory oversight of Registered and Unregistered Associates assigned to the Market. The manager partners with Market Leadership and Operations, Risk, Compliance, and Sales teams to ensure firm and regulatory requirements are met. The role includes recruiting, training, and managing assigned direct reports, ensuring completion of supervisory reviews and tasks, and reporting findings for review, escalation, and resolution. The manager also serves as a liaison for home office escalations, inquiries, initiatives, and other support areas; explains policies and procedures to branch employees; and ensures adherence. Travel of up to 25% may be required. The role requires appropriate FINRA licensing and compliance with applicable state registration, licensing, background-screening, and ongoing regulatory requirements. It is not eligible for visa sponsorship. The role may require working from the assigned office location for at least one year from the hire date. Preferred locations are Nashville, Tennessee; Frisco, Texas; Indianapolis, Indiana; and Knoxville, Tennessee. Other locations within the Wells Fargo CRG Mid America Market footprint may be considered. Relocation assistance is unavailable.

Requirements

At least 5 years of experience in Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent experience demonstrated through work experience, training, military experience, or education.
At least 2 years of leadership experience.
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 for this position and Series 24 is not required.
FINRA supervisory license required; appropriate FINRA license(s) must be obtained and/or maintained for ongoing employment.
Compliance with applicable state law registration and licensing requirements; specific product licenses or SAFE licensing may apply.
Ability to travel up to 25% of the time.
Successfully pass the required FINRA background check and meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Meet enhanced financial fitness and criminal background standards.
Provide information to Wells Fargo's Personal Account Dealing Team and comply with applicable policies if subject to outside-activity or personal-investing requirements.
Visa sponsorship is not available for this position.

Nice To Haves

Strong client service skills.
Strong attention to detail and accuracy skills.
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 perform extensive research to resolve complex customer issues.

Responsibilities

Oversee the day-to-day administrative functioning of branch offices within the Market.
Provide supervisory oversight of Registered and Unregistered Associates assigned to the Market.
Partner with Market Leadership and 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 within one or more Markets.
Ensure findings are reported for review, escalation if necessary, and final resolution.
Act 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.
Travel up to 25% of the time may be required.
Maintain appropriate FINRA licenses and comply with state registration and licensing requirements.