Senior Supervisory Control Specialist
About This Role
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firm’s requirements for supervision are in adherence with regulatory, compliance, and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs, and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal, and the Line of Business, as needed, in addressing concerns and issues related to Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations.
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 FINRA and 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, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
Successfully obtained and/or maintained appropriate FINRA license(s) is required for ongoing employment in this position.
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.
Experience partnering with business, compliance, and operational partners to address concerns, resolve complex issues, and provide solutions.
Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.
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.