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Wells Fargo Supervisory Control Manager - FiNet United States, Missouri, Saint Louis 663563994
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In this role, you will:
Manage and develop a team of analysts, principals, reviewers, supervisors and managers
Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Identify and recommend opportunities for coordinating proper staffing and coverage
Implement and monitor policies and procedures
Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies
Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training
Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives
Collaborate and consult with more experienced management
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
Mentor and guide talent development of direct reports and assist in hiring talent
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, 66 (or 63 and 65), 9 and 10 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
2+ years of leadership experience
Desired Qualifications:
2+ years Leadership experience in Brokerage, Wealth and Investment Management, or a combination of both
Financial services compliance experience
Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business
Strong analytical skills with high attention to detail and accuracy
Strong client service skills
Strong verbal, written, and interpersonal communication skills
Experience facilitating and delivering training or other related facilitation experience such as group meetings or presentations
Ability to interact with all levels of branch associates and business units; including managers and advisors
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Knowledge and understanding of operations strategy and policy development
Job Expectations:
May be expected to travel up to 25 percent of the time
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.
US Only: 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:
550 S Tryon St. Charlotte, NC
114 N Beaumont St. Saint 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.
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