Supervisory Control Specialist

Supervisory Control Specialist

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management. 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
• 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 (or 24 where applicable), and 63 (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
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is not eligible for Visa sponsorship.
• 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.

Job Location:

• 201 Main St Ste 1700 - Fort Worth, Texas 76102
• 9442 Capital of Texas Hwy N, Ste700 - Austin, Texas 78759

Preferred location(s) listed above. Other locations within the Wells Fargo CRG Southwest Market footprint may be considered. Relocation assistance is not available for this position