About this role:Wells Fargo Advisors (WFA) is seeking a Supervisory Control Specialist to join our Centralized Supervision Unit. The Supervisory Control Specialist is responsible for providing remote sales supervision and support within assigned branches and/or regions for the Private Client Group (PCG) and Wealth Brokerage Services (WBS) channels. Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:- 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
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 FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications:- Conflict management and decision-making skills
- Strong organizational, multi-tasking and prioritizing skills
- Ability to negotiate, influence, and collaborate to build successful relationships
- Excellent verbal, written, and interpersonal communication skills
- Strong attention to detail and accuracy skills
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Job Expectations:- US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must be completed within either a 90 or 180-day time period, depending 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. 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.
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
- This position is not eligible for Visa sponsorship.
- 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.
Job Posting Locations:- 114 N Beaumont St. Bldg D - Saint Louis, Missouri
- 550 S. 4th St. - Minneapolis, Minnesota
- 550 S. Tryon St. - Charlotte, North Carolina
The Supervisory Control Specialist will be responsible for providing remote sales supervision and support within assigned Divisions. This requires working closely with the Divisional and local support center staff on compliance and supervision policies, practices and resolution of issues. More specifically, the Supervisory Control Specialist will be active in: Supervising specific sales activities on behalf of retail branch managers such as Trade Blotter, Monthly Alerts, Account Reviews, and other time sensitive approvals. Monitoring sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies; Assist branch offices in resolution of sales activity issues where appropriate; Escalate issues to the appropriate management level for resolution; Complete other duties as assigned by the Supervision Manager.
Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$63,600.00 - $113,000.00
Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- 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
Posting End Date:20 Nov 2024
* Job posting may come down early due to volume of applicants. We Value DiversityAt Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
