Wells Fargo Advisors is seeking a Supervisory Control Associate Manager responsible for oversight of the Complex Products and Strategies Supervision team within Wealth and Investment Management as part of Wells Fargo Advisors. The Complex Products and Strategy team serves as part of a dedicated group who conduct enhanced higher risk reviews of Structured Products, Options and other Complex Products and strategies related to the Wells Fargo Advisors (WFA) product platform. Learn more about our career areas and lines of business at wellsfargojobs.com .
In this role, you will:
Manage a team responsible for conducting enhanced higher risk reviews of Complex Products and Strategies and analyze FA directed portfolios related to the Wells Fargo Advisors (WFA) product platform.
Supervise registered individuals, supervisory principals, and reviewers in day-to-day operations
Monitor progress to ensure timely completion, quality, and compliance in all regulatory and firm policies
Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
Provide consistency in the reviews of specific higher risk investment factors and possible preapproval of certain complex products.
Implement and monitor policies and procedures under direction of Supervisory Control
Collaborate and consult with market managers, regional and branch staff, and potential interaction with support departments
Manage allocation of people and financial resources for Supervisory Control
Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
2+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
1+ years of leadership experience
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 or (63 and 65) and Series 4 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
Knowledge and understanding in reviews of higher-risk investment factors in one or a combination of the following: Higher-Risk Securities, Trading Characteristics, Implementation Strategies, Security Products/Types, Fundamental Trends, Portfolio Construction
Ability to provide leadership to a licensing team
Ability to quickly learn business products, operations and processes
Leadership skills including; coaching, training, and mentoring
Supervisory skills including; distributing work and providing work direction
Experience maintaining employee performance improvement using constructive coaching
Excellent verbal, written, and interpersonal communication skills
Proficient understanding of Microsoft Office Suites Excel including functions
Ability to determine and report priorities/metrics to senior management
Ability to work independently, make decisions, and instruct others
Ability to be flexible and adjust plans quickly to meet changing business needs
Ability to identify creative solutions to support service quality initiatives
Experience resolving and working through escalated and complex issues
Conflict management and decision-making skills
Effective organizational, multi-tasking, and prioritizing skills
Ability to work in a fast-paced deadline driven environment
Ability to work independently while balancing the needs of multiple project
Strong research and documentation skills
Independent negotiating experience
Ability to interact with all levels of an organization
Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
Job Expectations:
May be expected to travel up to 10 percent of the time.
US Only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 review process at the time of offer acceptance.
US Only: 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.
Job Locations:
2801 Market St., F & L Bldg. Saint Louis, MO 63103
550 S 4th St. Minneapolis, MN 55415
550 S Tryon St. Charlotte, NC 28202
Pay Range
Reflected 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. $84,000.00 - $149,400.00 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: 13 Jan 2025 * 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.
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.
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.