Supervisory Control Specialist

About This Role

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.

Required Qualifications

• 2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• Successfully completed and passed a background check prior to hire

Desired Qualifications

• Experience partnering with business, compliance and supervision 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
• Experience in compliance or broker-dealer governance

Job Expectations

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
• Must successfully complete and pass a background check prior to hire
• Must meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
• May require working in the assigned office location for at least one year from the hire date
• May be subject to FINRA background screening requirements
• May be ineligible to work from a location other than the assigned office location
• May be subject to specific compliance policies regarding outside activities and/or personal investing