Wells Fargo is seeking a Lead Supervisory Control Specialist 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:
The CRG Lead Supervisory Control Specialist will act as a liaison for the Divisional office in various aspects of engagement & recognition, compliance and HR
Collaborate with the Supervisory Control Senior Manager and other supervisory control team members, as projects require, ensuring consistent and efficient execution of the firms HR, Compliance and Risk policies and procedures
Responsible for execution of various initiatives for the supervisory control team including, but not limited to, Hold Recommendation adoption, remote location tracking/monitoring, annual firm required training, Reg BI related projects, staffing requisitions for the team and various remediation projects
The CRG Lead Supervisory Control Specialist reports directly to the Supervisory Control Senior Manager.
Lead complex risk management, including supervisory risk and human capital risk within the private client group
Contribute to identify risks in the region and implement controls to mitigate risks
Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches
Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region. Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks
Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership
Required Qualifications:
5+ 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
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 and 65 (or 66) FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
Financial services compliance experience
Knowledge and understanding of Support Center model
Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA rules
Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business
Strong client service skills
Effective organizational, multi-tasking, and prioritizing skills
Strong verbal, written, and interpersonal communication skills
Leadership skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of branch associates and business units; including managers and advisors
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
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 10% of the time
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.
Job Location:
14767 North Outer 40 Rd. Chesterfield, MO
10 S Wacker Dr. Chicago, IL
550 S 4th St. Minneapolis, MN
1700 Lincoln St. Denver, CO
2700 Post Oak Blvd Houston, TX
111 E Kilbourn Ave. Milwaukee, WI
Preferred location(s) listed above. Other locations within the CRG Midwest Division may be considered. Relocation assistance is not available for this position.
Pay Range:
Chesterfield, MO - $84,000.00 - $149,400.00 USD Annual *Salary range is determined by location of the job
Chicago, IL - $92,400.00 - $164,400.00 USD Annual *Salary range is determined by location of the job
Minneapolis, MN - $84,000.00 - $149,400.00 USD Annual *Salary range is determined by location of the job
Denver, CO - $84,000.00 - $149,400.00 USD Annual *Salary range is determined by location of the job
Houston, TX - $84,000.00 - $149,400.00 USD Annual *Salary range is determined by location of the job
Milwaukee, WI - $84,000.00 - $149,400.00 USD Annual *Salary range is determined by location of the job
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 - $164,400.00 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: 27 Mar 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.