Supervisory Control Manager

Join our Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors.

About the role

You will have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market.

• Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met.
• Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation (if necessary), and final resolution.
• Act as a liaison contact for home office escalations, inquiries, and initiatives.
• Serve as a liaison and escalation point for all other support areas.
• Explain all policies and procedures to branch employees and ensure adherence to the policies and procedures.

Requirements

• 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.
• 2+ years of leadership experience.
• 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.

Qualifications

• Strong client service skills.
• Strong attention to detail and accuracy skills.
• Effective organizational, multi-tasking, and prioritizing skills.
• Strong verbal, written, and interpersonal communication skills.
• Ability to provide leadership to a financial services team.
• Ability to process complex transactions and perform extensive research to resolve complex customer issues.

Job Expectations

• Ability to travel up to 25% of the time.
• 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.
• 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. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
• Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• 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.

For this position, the Series 9/10 are the only principal licenses required. The Series 24 is not required.

Locations

• 4655 Executive Dr - San Diego, California 92121
• 5800 Armada Dr - Carlsbad, California 92008
• 12531 High Bluff Drive - San Diego, California 92130
• 888 Prospect Street - La Jolla, California 92037

Preferred location(s) listed above. Select locations within the Wells Fargo San Diego Market footprint may be considered.

Pay

$120,000.00 - $196,000.00

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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