דרושים Supervisory Control Associate ב-Wells Fargo ב-United States, Saint Louis

In this role you will:

• Participate in delivery of exceptional customer experience by building relationships through proactive outreach as well as proposing appropriate products, services, and digital solutions to help customers succeed financially
• Assist customers with basic requests related to opening new accounts, completing service requests, and submitting credit applications
• Receive direction from managers and exercise judgement within defined policies and procedures
• Develop understanding of bank products and services to connect to customers' needs
• Interact with customers to demonstrate care and build relationships
• Provide appropriate options for bank products and services to customer
• Refer customers' financial needs to other bankers and partners as needed
• This SAFE position has customer contact and job duties which may include the offering/negotiating of terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the S.A.F.E. Mortgage Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon meeting all such requirements, including acceptable background investigation results. Individuals in a SAFE position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below

Required Qualifications:

• 6+ months of interacting with customers experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Customer service focus with experience handling complex transactions across multiple systems
• Experience proactively engaging with customers through outreach via phone or email
• Ability to educate and connect customer to technology and share the value of mobile banking options
• Ability to help customers succeed financially by offering introductions to additional team members as appropriate
• Experience working with others on a team to meet customer needs
• Experience fostering and developing strong customer relationships
• Ability to build strong relationships with internal partners
• Ability to follow policies, procedures, and regulations
• Ability to identify potential fraud/risky accounts and take appropriate action to prevent loss
• Ability to interact with integrity and professionalism with customers and team members
• Proficient with proactively sourcing, acquiring, building, and maintaining relationships with customers and colleagues
• Support customers and employees in resolving or escalating concerns or complaints

Job Expectations:

• Ability to work a schedule that may include most Saturdays
• Maintains cash drawer, cash handling and balancing and spends time completing service-related tasks as needed
• This position requires SAFE registration at the time of employment. Wells Fargo will initiate the SAFE registration process immediately after your employment start date. The Nationwide Mortgage Licensing System (NMLS) website () provides the MU4R questions and registration required for employment in this position. Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary
• This position is not eligible for Visa sponsorship

Posting Location:

• 2350 34th St N SAINT PETERSBURG, FL 33713

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training

• Identify opportunities for additional synergies and to maximize efficiencies within Integrated Brokerage

• 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, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Conflict management and decision-making skills

• Strong negotiation skills

• Intermediate Microsoft Office (Word, Excel, and Outlook) skills

• Excellent verbal, written, and interpersonal communication skills

• Ability to interact with all levels of branch associates and business units

• Strong attention to detail and accuracy skills

• Strong time management skills

• Strong research and documentation skills

• Ability to work independently while balancing the needs of multiple projects

• Ability to gather, organize, and interpret data

• FINRA registration including Series 66 (or FINRA recognized equivalents)

• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.

• 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 mayapply. Additionalrequirements 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 may also be required.

• 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 regulatoryquestions/disclosures,will be ineligible to work from a location other than their assigned office location.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Job Locations:

• 2801 Market St., Saint Louis, Missouri

• 550 S Tryon St., Charlotte, North Carolina

• 550 S. 4th St., Minneapolis, Minnesota

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training

• Identify opportunities for additional synergies and to maximize efficiencies within Integrated Brokerage

• 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, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Conflict management and decision-making skills

• Strong negotiation skills

• Intermediate Microsoft Office (Word, Excel, and Outlook) skills

• Excellent verbal, written, and interpersonal communication skills

• Ability to interact with all levels of branch associates and business units

• Strong attention to detail and accuracy skills

• Strong time management skills

• Strong research and documentation skills

• Ability to work independently while balancing the needs of multiple projects

• Ability to gather, organize, and interpret data

• FINRA registration including Series 66 (or FINRA recognized equivalents)

• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.

• 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 mayapply. Additionalrequirements 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 may also be required.

• 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 regulatoryquestions/disclosures,will be ineligible to work from a location other than their assigned office location.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Job Locations:

• 114 N Beaumont St Bldg. D., Saint Louis, Missouri

• 550 S Tryon St., Charlotte, North Carolina

• 550 S. 4th St., Minneapolis, Minnesota

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Provide support to internal and external customers in account management, operations, documentation, and technical support
• Review basic or tactical customer issues regarding products and services, billing, account questions, or account transactions with narrower impact
• Receive direction from managers and exercise judgment within defined parameters while developing understanding of the related policies, procedures, or compliance requirements
• Act as a primary support person for the customer and internal partners supporting customer services
• Provide information to managers as well as internal and external customers to resolve customer issues

Required Qualifications:

• 6+ months of Customer Service, Financial Services or Contact Center experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Call center customer service experience in the financial services industry
• Banking or financial operations experience
• Knowledge and understanding of brokerage industry/operations
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Ability to identify and assess issues then make sound decisions
• Highly refined and professional verbal and written communications
• Ability to navigate multiple computer screens while working on the phone
• Strong analytical skills with high attention to detail and accuracy

Job Expectations:

• Training will be combination of OJT and Class
• Working hours will be M-F between the hours of 7am-6pm
• Hybrid 3/2

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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). You will ensure the firms’ 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 as it relates to the FiNet Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at .

In this role, you will:

• 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, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (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
• 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 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. 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
• 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 regulatoryquestions/disclosures,
• May be expected to travel up to 35% of the time
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• This position is not eligible for Visa sponsorship.

Job Locations:

• 2801 Market St - St. Louis, Missouri
• 1525 W WT Harris Blvd - Charlotte, North Carolina
• 299 S Main St - Salt Lake City, Utah
• 8601 N Scottsdale Rd - Scottsdale, Arizona

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

About this role:

Wealth & Investment Management Operations.

In this role, you will:

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

Required Qualifications:

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Experience in Credit Margin
• Operations experience with client accounts
• BETA experience
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• proficiency in presenting to senior management
• Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
• Solid problem solving skills
• Ability to assess current process/procedures and make recommendations for efficiency
• Ability to read, analyze, and interpret documents/reports
• Effective organization, multitasking, and prioritizing skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Intermediate to advanced Microsoft Office skills
• Intermediate to advance in Excel

Job Expectations:

• Hybrid Schedule
• Ability to work additional hours as needed

Posting Location:

• 2801 Market Street, Saint Louis, Missouri

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

Required Qualifications:

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Maintain clear understanding of Alternative Investment Products and process solutions available to the front office
• Customer service focus with experience handling complex transactions across multiple systems
• Experience proactively engaging with customers through outreach via phone or email
• Ability to educate and connect customer to technology and ability to communicate complete products
• Experience working with others on a team to meet customer needs
• Experience fostering and developing strong customer relationships
• Ability to build strong relationships with internal partners
• Ability to follow policies, procedures, and regulations
• Ability to identify potential fraud/risky accounts and take appropriate action to prevent loss
• Ability to interact with integrity and professionalism with customers and team members
• Continued process improvement and product knowledge
• Adherence to Wells Fargo risk management culture

Job Expectations:

• Ability to work additional hours as needed
• Willingness to work on-site at stated location(s) on the job opening
• This position is not eligible for Visa sponsorship

Posting Locations:

• 2801 Market Street, Saint Louis, Missouri 63103
• 1525 W WT Harris Boulevard, Charlotte, North Carolina 28262

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.