Supervisory Control Specialist

Wells Fargo & Company•San Diego, CA

6d•$92,000 - $145,000•Onsite

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group (CRG) within Wealth and Investment Management. The role focuses on reviewing controls for high-risk investment strategies and complex products, analyzing risk, and recommending process and technology improvements. The specialist develops expertise in firm, compliance, and regulatory policies and collaborates with Financial Advisors, management, business leaders, branch and supervision managers, and other business units. The position requires appropriate FINRA supervisory licensing and compliance with applicable state registration and licensing requirements. It may require working at the assigned office location for at least one year from the hire date. Travel may be required up to 25% of the time. The position is subject to FINRA background screening and ongoing regulatory obligations and is not eligible for visa sponsorship. The position is located at 12531 High Bluff Drive, San Diego, California 92130. The offered base pay range is $92,000 to $145,000, with possible incentive opportunities.

Requirements

At least 2 years of experience in Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage, or equivalent demonstrated through work experience, training, military experience, or education.
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 states that Series 9/10 are the only principal licenses required for this position and Series 24 is not required.
Obtain and/or maintain appropriate FINRA licenses for ongoing employment and comply with state law registration and licensing requirements.
Meet enhanced financial fitness and criminal background standards and successfully pass FINRA background screening prior to hire.
Comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.

Nice To Haves

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 employees and management at all levels 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.
At least 2 years of financial services industry experience.
Experience in compliance or broker-dealer governance.

Responsibilities

Participate in and consult on policies, procedures, controls, tools, and training.
Review and analyze controls for managing high-risk investment strategies and complex products.
Evaluate monitoring resources and exercise independent judgment to guide process changes, process improvements, and technology enhancements.
Present recommendations to resolve complex analyses, using 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 with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units.