Supervisory Control Specialist

Wells Fargo•San Jose, CA

4d•$92,000 - $145,000•Onsite

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join their Client Relationship Group within Wealth and Investment Management. In this role, the specialist will participate and consult on policies, procedures, controls, tools, and training. They will identify opportunities for synergies and efficiencies within the private client group, review and analyze controls for high-risk investment strategies and complex products, and evaluate resources for risk monitoring. The specialist will exercise independent judgment to guide process changes, improvements, and technology enhancements, and present recommendations for resolving complex analysis. They will also gather and analyze data, identify trends, and develop expertise in firm, compliance, and regulatory policies and procedures. Collaboration with Financial Advisors, management, and various business units is a key aspect of this role.

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 (or 24 where applicable), and 63 (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
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