Supervisory Control Specialist

Wells Fargo Bank•St Louis, MO

2d•Remote

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit within Wealth & Investment Management. In this role, you will provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors. You will support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations. You will also provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors. You will work closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues. You will supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance. You will monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies. You will assist branch offices in resolution of sales activity issues where appropriate and escalate issues to the appropriate management level for resolution. You will conduct orientation programs on responsibilities for new branch managers and support managers where appropriate. You will participate and consult regarding policies and procedures, controls, tools and training. You will identify opportunities for additional synergies and to maximize efficiencies within the private client group. You will review and analyze controls to manage high risk investment strategies and complex products. You will evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements. You will present recommendations for resolving complex analysis in search of current and best practices. You will gather and analyze data, identify trends and present analysis through meaningful statistics. You will develop expertise in firm, compliance and regulatory policies and procedures. You will collaborate and consult with Financial Advisors, Branch and Area Managers, CRG Regional Management, and other business units personnel and management.

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 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

Knowledge and understanding of Annuity and Insurance products
Conflict management and decision-making skills
Intermediate Microsoft Office skills
Strong negotiation skills
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of branch associates and business units
Strong attention to detail and accuracy skills
Strong time management skills
Strong research and documentation skills
Ability to work independently while balancing the needs of multiple projects
Ability to gather, organize, and interpret data
FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Life & Health Insurance licenses

Responsibilities

Provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors
Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations
Provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors
Work closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues
Supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance
Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Assist branch offices in resolution of sales activity issues where appropriate
Escalate issues to the appropriate management level for resolution
Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate
Participate and consult regarding policies and procedures, controls, tools and training
Identify opportunities for additional synergies and to maximize efficiencies within the private client group
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, Branch and Area Managers, CRG Regional Management, and other business units personnel and management.