Wells Fargo is seeking a Supervisory Control Manager to join our Central Governance Team in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .
In this role, you will:
Manage and develop a team of analysts, principals, reviewers, supervisors and managers
Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Identify and recommend opportunities for coordinating proper staffing and coverage
Implement and monitor policies and procedures
Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training
Collaborate and consult with more experienced management
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
Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
4+ years 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
2+ years of leadership experience
US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
Branch office compliance or sales supervision experience
Ability to manage multiple projects concurrently
Ability to meet stringent deadlines
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of an organization; including senior leadership
Ability to prepare and deliver presentations, management reporting, and statistical analysis related to trends and findings
Ability to exercise independent judgment to identify and resolve problems
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
This position is not eligible for Visa sponsorship.
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 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.
Posting Locations:
2710 Pine St, E Bldg - St. Louis, Missouri
550 S Tryon St Charlotte, North Carolina
5201 W Amelia Earhart Dr - Salt Lake City, Utah
8601 N Scottscdale Rd - Scottsdale, Arizona
550 S 4th St - Minneapolis, Minnesota
This role is primarily focused on managing the Qualified Supervisor review of the centralized intake of complaint matters to ensure the matter is handled and routed properly from the onset and delegate of the complaint Business Accountable Leader (BAL) for all matters complaint-related. Additionally, the Financial Advisor Book Reassignment (FABR) process was centralized and this position manages all aspects. The Supervisory Control Manager will know the complaint lifecycle and corresponding policies/procedures, learn the FABR process, develop efficiencies within the group &/or processes, set clear expectations of each member of the group, and hold the group accountable.
Posting End Date: 16 Jul 2024 *Job posting may come down early due to volume of applicants.
We Value Diversity
At 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.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.