FiNet Governance Senior Supervisory Control Specialist

About This Role

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of practices within the Financial Network (FiNet).

Responsibilities

• 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 Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (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 of people and financial resources for Supervisory Control.

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
• 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 operational partners to address concerns, resolve complex issues and provide solutions.
• Ability to exercise independent judgment to identify and resolve problems.
• 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 lead projects/initiatives with high risk and complexity.
• Ability to manage multiple and competing priorities.
• 4+ years of financial services industry experience.
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.

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.
• Specific compliance policies may apply regarding outside activities 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.
• This position is not eligible for Visa sponsorship.
• The Series 9/10 are the only principal licenses required. The Series 24 is not required.