Supervisory Control Specialist

Wells Fargo Bank • St Louis, MO

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About The Position

About this role: Wells Fargo is seeking a Supervisory Control Specialist to join our Asset Movement and Principal Review Oversight team within Wealth & Investment Management (WIM). This position plays a critical role in supporting the team’s responsibilities related to multiple oversight and testing activities—including Internal Audit, Branch Exams, and IT&V. As an Office of Supervisory Jurisdiction (OSJ), the team undergoes extensive review, and this role helps ensure readiness, accuracy, and strong control execution throughout those engagements. Learn more about the career areas and business divisions at www.wellsfargojobs.com . In this role, you will: 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, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying 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
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• Ability to travel up to 25 percent of the time
• US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
• US Only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
• Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business.
• 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.
• Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa sponsorship.

Nice To Haves

• Financial services compliance experience
• Knowledge and understanding of Asset movement and Money movement activity
• Experience creating reports in response to management, audit, or regulatory requirements
• Knowledge and understanding of financial industry trends
• Experience with governance and oversight requirements for regulatory and risk reporting
• Client account dashboard experience
• Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products, and internal controls; and identifying issues resulting from internal and/or external compliance examinations
• Ability to interact with all levels of branch associates and business units; including managers and advisors
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to perform extensive research and reviews
• Excellent verbal, written, and interpersonal communication skills
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Responsibilities

• 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, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed