Supervisory Control Specialist

Wells Fargo•Mission Viejo, CA

1d•Onsite

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join their Client Relationship Group within Wealth and Investment Management. This role involves participating in and consulting on policies, procedures, controls, tools, and training. The specialist will review and analyze controls for high-risk investment strategies and complex products, evaluate resources for risk monitoring, and use independent judgment to guide process changes, improvements, and technology enhancements. Key responsibilities include presenting recommendations for resolving complex analyses, gathering and analyzing data to identify trends, and developing expertise in firm, compliance, and regulatory policies. The position requires collaboration and consultation with Financial Advisors, various levels of management, and different business units.

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
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 (US Only)
Ability to travel up to 25 percent of the time
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
Meeting enhanced financial fitness and criminal background standards
Successful completion and passing of a background check prior to hire
Meeting and complying with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is 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

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