Supervisory Control Specialist

Wells Fargo•Las Vegas, NV

7d•$77,000 - $121,000•Onsite

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. The role focuses on reviewing controls for high-risk investment strategies and complex products, assessing risk-monitoring resources, and recommending process and technology improvements. The specialist gathers and analyzes data, identifies trends, presents meaningful statistics, and develops expertise in firm, compliance, and regulatory policies and procedures. The role works with Financial Advisors, management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and business units. The position requires appropriate FINRA licensing and compliance with applicable state registration and licensing rules. It may require working in the assigned office for at least one year and travel up to 25 percent. The position is based at 8474 Rozita Lee Ave., Las Vegas, NV 89113, and is not eligible for visa sponsorship.

Requirements

At least 2 years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience, 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.
Maintain appropriate FINRA license(s) for ongoing employment and comply with applicable state law registration and licensing requirements.
Meet enhanced financial fitness and criminal background standards and pass the required FINRA background screening.
Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Ability to travel up to 25 percent of the time.
Ability to work in the assigned office location for at least one year from hire may be required.

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.
Negotiation, 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 and procedures, controls, tools, and training.
Review and analyze controls for managing high-risk investment strategies and complex products.
Evaluate resources for monitoring risk and exercise independent judgment to guide process changes, improvements, and technology enhancements.
Present recommendations to resolve complex analyses and identify 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 various Business Units.
Maintain appropriate FINRA licenses and comply with state registration and licensing requirements.