Supervisory Control Specialist
About The Position
Wells Fargo is seeking a Supervisory Control Specialist to join their Client Relationship Group within the Branch Infrastructure and Operations group as part of Wealth & 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 Integrated Brokerage, and review and analyze controls for managing high-risk investment strategies and complex products. The specialist will also evaluate resources for risk monitoring, exercise independent judgment for process changes and improvements, and present recommendations for resolving complex analysis. Additionally, they will develop expertise in firm, compliance, and regulatory policies and procedures, and collaborate with various internal stakeholders including Financial Advisors, Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and other 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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Nice To Haves
- Conflict management and decision-making skills
- Strong negotiation skills
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with all levels of branch associates and business units
- Strong attention to detail and accuracy skills
- Strong time management skills
- Strong research and documentation skills
- Ability to work independently while balancing the needs of multiple projects
- Ability to gather, organize, and interpret data
- 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 Integrated Brokerage
- 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
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
