Senior Supervisory Control Specialist
Wells Fargo
Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations. Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws. Implement and monitor policies and procedures. Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies. Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training. Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives. Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments. Manage allocation ...Control Specialist, Supervisor, Control, Specialist, Senior, Business Partner, Banking, Business Services
Vacancy posted 4 days ago
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