Supervisory Control Specialist
Wells Fargo•Birmingham, AL
•Onsite
About The Position
Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com
Requirements
- 2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Nice To Haves
- 2+ years of financial services industry experience
- Experience in compliance or broker-dealer governance
- Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions
- Ability to exercise independent judgment to identify and resolve problems
- Ability to interact with all levels of employees and management across the organization and Independent Offices
- Excellent verbal, written, and interpersonal communication skills
- Negotiating, conflict-management, and decision-making skills
- Ability to take initiative, work independently, identify opportunities, and implement change
- Ability to manage multiple and competing priorities
Responsibilities
- Participate and consult regarding policies and procedures, controls, tools and training
- Review and analyze controls to manage high risk investment strategies and complex products
- Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
- Present recommendations for resolving complex analysis in search of current and best practices
- Gather and analyze data, identify trends and present analysis through meaningful statistics
- Develop expertise in firm, compliance and regulatory policies and procedures
- Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units
Benefits
- Wells Fargo maintains a drug free workplace.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
