About this role:
Wells Fargo is seeking a driven and detail-oriented Supervisory Control Specialist to support our Client Relationship Group within Wealth & Investment Management. In this critical role, you'll help strengthen our control environment, ensure operational excellence, and contribute to the trusted client experience that defines our brand. Explore how you can make an impact and grow your career at wellsfargojobs.com.
In this role, you will:
Required Qualifications:
Desired Qualifications:
Job Expectations:
Job location:
Wells Fargo is seeking a driven and detail-oriented Supervisory Control Specialist to support our Client Relationship Group within Wealth & Investment Management. In this critical role, you'll help strengthen our control environment, ensure operational excellence, and contribute to the trusted client experience that defines our brand. Explore how you can make an impact and grow your career at wellsfargojobs.com.
In this role, you will:
- Participate and consult regarding policies and procedures, controls, tools and training
- 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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, , Supervision Managers, and varying Business Units
Required Qualifications:
- 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, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
- 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
- 2+ years of financial services industry experience
- Experience in compliance or broker-dealer governance
Job Expectations:
- US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing 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 is required
- Ability to travel up to 25 percent of the time
- 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 not eligible for Visa sponsorship.
Job location:
- 1512 Eureka RD, Roseville CA, 95661
- 6005 Plumas, Reno NV, 89519
- 6781 N Palm Ave, Fresno CA, 93704
- 400 Capitol Mall, Sacramento CA, 95814
- Preferred location(s) listed above. Select locations within the Wells Fargo footprint may be considered for current WF employees.
Top Skills
66
9/10
Finra Series 7
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