Wells Fargo Supervisory Control Associate 

United States, Missouri, Saint Louis 

992270529

In this role, you will:

• Perform analysis of findings and trends using statistical analysis and document processes, including Retirement Asset Movement andelectronic communications and as needed

• Perform basic or tactical ongoing regulatory, compliance and operational reviews related to recommendations and suitability for retirement accounts, moving assets as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.

• Receive direction from management and exercise independent judgment while developing an understanding of sales, retirement asset movement of QRP to IRA rollovers, electronic communications and ad hoc activities using various technological tools using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies

• Identify and define business requirements and translate data and business needs into research and recommendations to improve operational efficiency, quality and compliance ofsales, retirement assets, electronic communications and ad hoc activities

• Develop customized reports and ad hoc analyses to make recommendations and provide guidance

• Understand compliance and risk management requirements for supported area

• Ensure adherence to data management or data governance regulations and policies

• Participate in company initiatives or processes to assist in meeting risk and capital objectives and other strategic goals

• Participate in all group technology efforts including design and implementation of database structures, analytics software, storage, and processing

• Support off channel communications processes and address questions as needed for WIM

• Collaborate and consult with financial advisors, branch managers, supervisory principals as well as more experienced consultants and with partners in technology and other business groups

Required Qualifications:

• 6+ months 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 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.

Desired Qualifications:

• Conflict management and decision-making skills

• Excellent verbal, written, and interpersonal communication skills

• Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

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

• Ability to exercise independent judgment to identify and resolve problems

• Strong attention to detail and accuracy skills

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

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

Job Expectations:

• Ability to travel 10 percent of the time may be required

• 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 Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 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. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business.

• 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 Posting Location:

• 2801 Market St. F & L Bldg - St. Louis, MO

Wells Fargo Recruitment and Hiring Requirements:

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