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Jobs · Analyst · Pennsylvania

Supervisory Control Specialist

Wells Fargo · Wayne, PA · 3 wk ago
AnalystFull-time
We need to output HTML fragment with sections: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content. We need to parse the posting. First, "About this role:" paragraph: "Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com ." That's about the role. Then "In this role, you will:" bullet list of duties. Those are responsibilities. Then "Required Qualifications:" list. Then "Desired Qualifications:" list. Then "Job Expectations:" includes many details: FINRA licensing, travel, etc. This could be considered Requirements or Qualifications? Might be separate section like "Job Expectations" but we only have allowed headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. So we need to map content accordingly. We have Required Qualifications and Desired Qualifications: could be under Requirements or Qualifications. Since we have both sections, we could put Required Qualifications under Requirements, Desired Qualifications under Qualifications (or Skills). But we also have skills list in Desired Qualifications: ability to exercise independent judgment, etc. Those are skills. We also have Job Expectations: licensing, travel, background check, etc. Those could be under Requirements (maybe as additional requirements). Could also be under Qualifications. We need to avoid filler sections like Benefits, Pay, Schedule unless present. The posting does not mention benefits, pay, schedule. So we should not include those sections. Thus we will have sections: About the role, Responsibilities, Requirements, Qualifications, Skills. But we need to ensure we don't duplicate content. Let's extract. About the role: paragraph: "Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com ." We should keep that as

. Responsibilities: list after "In this role, you will:" includes: - Participate and consult regarding policies and procedures, controls, tools and training - Review and analyze controls to manage high risk investment strategies and complex products - Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements - Present recommendations for resolving complex analysis in search of current and best practices - Gather and analyze data, identify trends and present analysis through meaningful statistics - Develop expertise in firm, compliance and regulatory policies and procedures - Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units We'll put each as

  • . Requirements: from "Required Qualifications:" bullet list: - 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 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Note: there is a note later: "****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****" That's a clarification; we should include that as part of Requirements. Thus Requirements section includes those two items. Qualifications: from "Desired Qualifications:" bullet list: - 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 - Ability to interact with all levels of employees and management across the organization and Independent Offices - 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 manage multiple and competing priorities - 2+ years of financial services industry experience - Experience in compliance or broker-dealer governance We could treat these as Qualifications or Skills. The instruction says we have sections: Qualifications, Skills. We could put the experience items under Qualifications, and the ability/skill items under Skills. But we need to decide. Better: Qualifications: experience items (2+ years financial services industry experience, experience in compliance or broker-dealer governance). Skills: the abilities (independent judgment, interact, communication, negotiating, initiative, manage priorities). Also "Experience partnering with business..." could be skill/experience; but we can put under Qualifications as experience. Let's split: Qualifications: - Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions - 2+ years of financial services industry experience - Experience in compliance or broker-dealer governance Skills: - Ability to exercise independent judgment to identify and resolve problems - Ability to interact with all levels of employees and management across the organization and Independent Offices - 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 manage multiple and competing priorities Now Job Expectations: includes many items: FINRA licensing, travel up to 25%, office location requirement, background check, etc. These are requirements/qualifications. Could be added to Requirements section as additional bullet points. We need to incorporate all substantive info. Let's list Job Expectations bullet points: - 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 25 percent of the time - 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 - Specific compliance policies may apply regarding outside activities and/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. - Information will be shared about expectations during the recruitment process - This position is not eligible for Visa sponsorship. - 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. We should include these as part of Requirements (or maybe a separate section like Requirements). Since we already have Required Qualifications, we can add these under Requirements as additional bullet points. We must not repeat job title as heading. Already not. We must not include Job ID/requisition numbers; we have Reference Number R-567497-2 at end; we should drop it. We must remove boilerplate like EEO, equal opportunity, etc. Remove all that. We must not include navigation, cookie, legal, etc. We must not include posting end date? That's metadata; could be folded into a short p or drop. The instruction: "do NOT put Job ID / requisition numbers as headings — fold minor metadata into a short

    or drop it." Posting End Date is minor metadata; we could include a short p at end maybe, but better to drop it as not substantive. The instruction says preserve ALL substantive information; posting end date is not substantive for the role. So we can drop it. Location: "Job Location: 100 North 18th Street - Philadelphia, Pennsylvania 19103 150 Radnor-Chester Rd, Wayne, Pennsylvania 19087 955 Chesterbrook Blvd Ste 320, Wayne, Pennsylvania 19087". That's substantive (location). Should we include? The allowed sections do not have a Location heading. We could fold into a short p under About the role or maybe under Responsibilities? Probably best to add a short p after About the role: "Job locations: ..." as a paragraph. We must not invent sections like Location; we can just include a p. Thus final HTML:

    About the role

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

    Job locations: 100 North 18th Street - Philadelphia, Pennsylvania 19103; 150 Radnor-Chester Rd, Wayne, Pennsylvania 19087; 955 Chesterbrook Blvd Ste 320, Wayne, Pennsylvania 19087.

    Responsibilities

    • Participate and consult regarding policies and procedures, controls, tools and training
    • Review and analyze controls to manage high risk investment strategies and complex products
    • Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
    • Present recommendations for resolving complex analysis in search of current and best practices
    • Gather and analyze data, identify trends and present analysis through meaningful statistics
    • Develop expertise in firm, compliance and regulatory policies and procedures
    • Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units

    Requirements

    • 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 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
    • ****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****
    • 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 25 percent of the time.
    • This role requires a FIN

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