About this role:
Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
Provide support to WFA Supervisory Control Specialists as needed
Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues
Conduct certain client account approvals
Participate or conduct compliance, supervision, control reviews, administration, and technology
Design risk processes and provide project management support
Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
Assist with oversight of branch risk management
Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
Receive direction from management and exercise independent judgment while developing an understanding of sales and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed.
Complete other duties as assigned by the Supervision Manager
Required Qualifications:
6+ months of Supervisory Control, 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
Desired Qualifications:
Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
Solid conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Ability to work independently while balancing the needs of multiple projects
Ability to be flexible and adjust plans quickly to meet changing business needs
Intermediate Microsoft Office (Word, Excel, and Outlook) skills
Ability to exercise independent judgment and creative problem-solving techniques
Ability to interact with all levels of branch associates and business units; including managers and advisors
FINRA registration including Series 66 (or FINRA recognized equivalents)
FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Job Expectations:
US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
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 may also be required.
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 subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
This position is not eligible for Visa sponsorship.
Job Locations:
550 S Tryon St., Charlotte, NC
114 N Beaumont St., Saint Louis, MO
550 S 4th St., Minneapolis, MN
Pay Range:
Charlotte, NC - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the job
St. Louis, MO - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the job
Minneapolis, MN - $75,000.00 - $114,000.00 USD Annual *Salary range is determined by location of the job
